Donald C. Rozema
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Calvin Rozema was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1982. Donald had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - July 31, 2014
GROVE POINT INVESTMENTS, LLC
July 27, 2002 - December 31, 2008
PACIFIC WEST SECURITIES, INC.
March 13, 2002 - July 31, 2002
OSAIC WEALTH, INC.
August 4, 1994 - March 13, 2002
PIM FINANCIAL SERVICES, INC.
March 19, 1992 - August 16, 1994
CONSOLIDATED INVESTMENT SERVICES, INC.
June 18, 1989 - March 19, 1992
SUNAMERICA SECURITIES, INC.
May 24, 1982 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
