Judith D. Rawcliffe
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.
Judith Dorothy Rawcliffe, who also goes by Judith D Rawcliffe, was a registered financial professional .
Judith is a previously registered financial professional and started their career in finance in 1987. Judith had worked at 6 firms and has passed the Series 63, SIE, Series 6, Series 62 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2010 - February 26, 2020
GROVE POINT INVESTMENTS, LLC
April 22, 2004 - August 13, 2010
FIRST ALLIED SECURITIES, INC.
August 1, 2003 - December 31, 2003
WALNUT STREET SECURITIES, INC.
December 18, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
June 24, 1998 - July 23, 1999
SICOR SECURITIES INC
March 20, 1996 - December 31, 1997
NATHAN & LEWIS SECURITIES, INC.
June 24, 1987 - January 11, 1996
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 12/16/2002
Corporate Securities Limited Representative 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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