Alan B. Gregory
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.
Alan Benton Gregory, who also goes by Alan Gregory, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1982. Alan had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2010 - June 30, 2016
GROVE POINT INVESTMENTS, LLC
December 1, 2006 - April 30, 2010
QUESTAR CAPITAL CORPORATION
May 27, 1999 - December 1, 2006
USALLIANZ SECURITIES, INC.
January 4, 1996 - April 1, 1997
CAPITAL INVESTMENT GROUP, INC.
March 25, 1993 - December 31, 1995
SUNAMERICA SECURITIES, INC.
October 6, 1992 - February 19, 1993
AMERICAN SECURITIES MANAGEMENT, INC.
July 25, 1991 - September 29, 1992
INVEST FINANCIAL CORPORATION
March 13, 1991 - July 19, 1991
CAPITAL ONE INVESTMENTS, LLC
August 25, 1989 - February 21, 1991
PRUDENTIAL EQUITY GROUP, LLC
October 17, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
October 22, 1982 - October 1, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
