Barbara A. Novak
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.
Barbara A. Novak, who also goes by Barbara A Novak, Barbara Ann Novak, Barbara Ann O'brien, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1986. Barbara had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 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
September 16, 2020 - July 7, 2025
GROVE POINT INVESTMENTS, LLC
December 24, 2015 - October 14, 2019
PERSHING LLC
July 13, 2012 - November 24, 2015
CHARLES SCHWAB & CO., INC.
April 27, 2010 - July 12, 2012
CETERA FINANCIAL SPECIALISTS LLC
March 23, 2006 - April 26, 2010
PFS INVESTMENTS INC.
October 24, 2003 - October 15, 2004
EVERLAKE DISTRIBUTORS, LLC
February 25, 2002 - October 31, 2003
PFS INVESTMENTS INC.
February 18, 1998 - February 1, 2001
INVESCO CAPITAL MARKETS, INC.
February 1, 1995 - March 5, 1998
DWS DISTRIBUTORS, INC.
July 30, 1992 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
April 4, 1989 - June 28, 1991
WELLS FARGO CLEARING SERVICES, LLC
November 24, 1986 - April 15, 1989
KEMPER 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
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