Gregory G. Shaw
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.
Gregory Glenn Shaw was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1982. Gregory had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2021 - December 31, 2023
GROVE POINT ADVISORS, LLC
December 17, 2008 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
November 10, 2003 - December 31, 2006
GROVE POINT INVESTMENTS, LLC
November 10, 2003 - December 31, 2023
GROVE POINT INVESTMENTS, LLC
March 21, 2003 - November 10, 2003
OSAIC FS, INC.
July 8, 2000 - November 10, 2003
OSAIC FS, INC.
February 29, 2000 - March 27, 2003
POLARIS ADVISORY SERVICES INC
June 1, 1990 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
October 1, 1982 - June 4, 1990
FORESTERS 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 ADVISORS, LLC
CRD#: 313171 / SEC#: 801-56879
Contact information
Regulatory assets under management
| Total Number of Accounts | 9,556 |
| AUM (Assets Under Management) | $ 2,470,347,917 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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