Perry A. Groves
Professional summary
Perry Andrew Groves was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Perry is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Perry had worked at 3 firms, which includes CONTINENTAL CAPITAL INVESTMENT SERVICES INC., WOODBURY FINANCIAL SERVICES INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 1998 - June 30, 1998
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
November 16, 1995 - December 5, 1997
WOODBURY FINANCIAL SERVICES, INC.
July 13, 1984 - November 17, 1995
PRUCO SECURITIES, LLC.
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
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
CRD#: 2864 / SEC#: , 8-7865
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL CAPITAL CORP. | OWNER | |
| AYLING, JOHN RUSSELL | OFFICER | 9294 |
| BAKER, TAMARA ELAINE | OFFICER/MUNICIPAL PRINCIPAL | 3017864 |
| CAMERON, JOHN WILLIAM | OFFICER /SR. VICE PRESIDENT | 1253957 |
| GRUVER, DONALD LESLIE | COMPLIANCE OFFICER / OPTIONS PRINCIPAL | 2266415 |
| KOWALSKI, DENNIS J | CONTROLLER/CHIEF FINANCIAL OFFICER/FINANCIAL PRINCIPAL | 2526293 |
| LOSBY, THOMAS DAVID | CHIEF OPERATIONS OFFICER /PRESIDENT | 1301638 |
| NOETHEN, BRITTANY MICHELLE | VICE PRESIDENT/COMMUNICATIONS AND INFORMATION SYSTEMS | 2610543 |
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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