Steven L. Minten
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.
Steven Lee Minten was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2010 - September 30, 2015
GROVE POINT INVESTMENTS, LLC
September 15, 2010 - September 30, 2015
GROVE POINT INVESTMENTS, LLC
February 9, 2007 - September 23, 2010
WOODBURY FINANCIAL SERVICES, INC.
February 8, 2007 - September 23, 2010
WOODBURY FINANCIAL SERVICES, INC.
March 22, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 22, 1988 - January 16, 2007
PRUCO SECURITIES, LLC.
March 17, 1987 - February 20, 1988
PFS INVESTMENTS 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
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.
