Kathryn P. Croak
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.
Kathryn Pagels Croak, CFP®, who also goes by Kathy Croak, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1986. Kathryn had worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2014 - December 31, 2018
GROVE POINT INVESTMENTS, LLC
March 24, 2010 - July 22, 2014
EMPOWER FINANCIAL SERVICES, INC.
March 2, 1989 - June 26, 1991
FIRSTAR INVESTMENT SERVICES,INC.
March 19, 1986 - January 9, 1989
INVEST FINANCIAL 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.
