James A. Bratsakis

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CRD#: 1204855

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.

James Andrew Bratsakis was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 8 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 20, 2011 - December 31, 2020

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

HOUSTON, TX

Past

January 3, 2011 - December 31, 2020

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

HOUSTON, TX

Past

April 5, 2007 - December 31, 2010

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

HOUSTON, TX

Past

October 4, 2005 - December 31, 2006

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

HOUSTON, TX

Past

May 3, 1999 - October 10, 2005

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

December 16, 1998 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

March 28, 1995 - January 6, 1999

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

March 23, 1988 - January 3, 1995

NEW ENGLAND SECURITIES

CRD#: 615

Past

November 10, 1986 - September 1, 1988

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

Past

April 3, 1984 - January 3, 1995

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

October 20, 1983 - December 13, 1984

PRUCO SECURITIES, LLC.

CRD#: 5685

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 8/1/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 8/29/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GROVE POINT INVESTMENTS, LLC

CAPITAL FINANCIAL SECURITIES CORPORATION | HIBBARD-BECK, INC. | H. BECK, INC. | GROVE POINT INVESTMENTS, LLC | ESTATE INVESTMENT COMPANY

CRD#: 1763 / SEC#: 801-undefined, 8-31165

Terminated by SEC on 09/30/2025

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Contact information

Main Address

2440 Research Boulevard Suite 500, Rockville, MD 20850

Mailing Address

Phone number

Established

Delaware since 04/01/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
GROVE POINT FINANCIAL, LLC	MEMBER
BEARD, KEVIN LAWRENCE	PRESIDENT	2789109
HAWLEY, AMANDA CANDELMO	CORPORATE SECRETARY	3214453
TYMKIW, TRISHA	PRINCIPAL FINANCIAL OFFICER	3197368
WORSHAM, SANDRA RENEE	CHIEF COMPLIANCE OFFICER	2444134

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.

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Firm Stability Insights

James A. Bratsakis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GROVE POINT INVESTMENTS, LLC

THE O.N. EQUITY SALES COMPANY

THE O.N. EQUITY SALES COMPANY

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

SECURIAN FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

1717 CAPITAL MANAGEMENT COMPANY

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/1984

SIE

Date: 10/1/2018

Series 22

Date: 8/1/1985

Series 6

Date: 8/29/1983

Current Firm

GROVE POINT INVESTMENTS, LLC

Contact information

FINRA licenses (4 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GROVE POINT INVESTMENTS, LLC

TRUST BUT VERIFY

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