Douglas W. Grove
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.
Douglas Wolfgang Grove, who also goes by Douglas W Grove, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1992. Douglas had worked at 10 firms and has passed the Series 63, Series 7, Series 55, Series 4 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 24, 2004 - October 15, 2004
BAIRD, PATRICK & CO., INC.
July 26, 2002 - July 1, 2003
MORGAN SPAULDING, INC.
January 2, 2000 - April 3, 2001
GARDEN STATE SECURITIES, INC.
November 6, 1999 - January 10, 2000
AUFHAUSER SECURITIES, INC.
September 11, 1997 - April 9, 1999
ALEXANDER, WESCOTT, & CO., INC.
June 19, 1997 - October 6, 1997
LEK SECURITIES CORPORATION
February 13, 1997 - May 8, 1997
DANALLEN INVESTMENT GROUP INC.
June 14, 1996 - August 9, 1996
PERSHING ADVISOR SOLUTIONS LLC
October 10, 1995 - July 10, 1996
ALEXANDER, WESCOTT, & CO., INC.
November 25, 1994 - July 13, 1995
THE WELLINGTON GROUP, INC.
December 24, 1992 - November 28, 1994
ASH FINANCIAL CORP.
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 55
Date: 7/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
BAIRD, PATRICK & CO., INC.
CRD#: 1149 / SEC#: , 8-18029
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 2 |
Red Flags
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