Mark S. Mikolaj
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.
Mark Stephen Mikolaj was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1982. Mark had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2003 - December 31, 2017
GROVE POINT INVESTMENTS, LLC
January 15, 1996 - December 31, 2017
GROVE POINT INVESTMENTS, LLC
June 19, 1992 - February 6, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 20, 1991 - November 7, 1991
JOHN HANCOCK DISTRIBUTORS LLC
September 4, 1991 - October 24, 1991
VESTAX SECURITIES CORPORATION
March 14, 1991 - June 18, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
June 12, 1989 - March 11, 1991
MONARCH SECURITIES, INC.
July 15, 1982 - June 18, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
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.
