Gregory E. Smith
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 Edwin Smith was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1984. Gregory had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
June 7, 2009 - November 5, 2015
GROVE POINT INVESTMENTS, LLC
May 8, 2009 - November 5, 2015
GROVE POINT INVESTMENTS, LLC
February 16, 2005 - November 13, 2009
LANDOAK SECURITIES, LLC
February 15, 2005 - November 12, 2009
LANDOAK SECURITIES, LLC
March 3, 2004 - February 22, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 18, 1998 - February 22, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 30, 1995 - November 18, 1998
PIM FINANCIAL SERVICES, INC.
August 13, 1985 - April 11, 1995
HUNTINGDON SECURITIES CORPORATION
June 20, 1984 - July 26, 1985
FSC SECURITIES 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.
