AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WF

Wendy B. Feldman

Some features on this profile are disabled
CRD#: 1946800
WF

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.

Wendy B Feldman was a registered financial professional .

Wendy is a previously registered financial professional and started their career in finance in 1989. Wendy had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 1, 2016 - March 31, 2021

GROVE POINT INVESTMENTS, LLC

RIA
CRD#: 1763
Rockville, MD
Past

September 28, 2016 - March 31, 2021

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
Rockville, MD
Past

June 1, 2009 - July 22, 2016

MORGAN STANLEY

RIA
CRD#: 149777
WASHINGTON, DC
Past

June 1, 2009 - July 22, 2016

MORGAN STANLEY

BD
CRD#: 149777
WASHINGTON, DC
Past

July 3, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
WASHINGTON, DC
Past

July 3, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
WASHINGTON, DC
Past

July 1, 2003 - July 8, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
WASHINGTON, DC
Past

July 1, 2003 - July 8, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WASHINGTON, DC
Past

February 21, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
WASHINGTON, DC
Past

September 10, 1993 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 31, 1993 - September 29, 1993

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 18, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/19/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/9/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1989
General Securities Representative Examination

Current Firm

GP
GROVE POINT INVESTMENTS, LLC
CAPITAL FINANCIAL SECURITIES CORPORATION | HIBBARD-BECK, INC. | H. BECK, INC. | GROVE POINT INVESTMENTS, LLC | ESTATE INVESTMENT COMPANY

CRD#: 1763 / SEC#: 801-undefined, 8-31165

BD
Terminated by SEC on 09/30/2025
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2440 Research Boulevard Suite 500, Rockville, MD 20850
Mailing Address
Phone number
Established
Delaware since 04/01/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
GROVE POINT FINANCIAL, LLCMEMBER
BEARD, KEVIN LAWRENCEPRESIDENT2789109
HAWLEY, AMANDA CANDELMOCORPORATE SECRETARY3214453
TYMKIW, TRISHAPRINCIPAL FINANCIAL OFFICER3197368
WORSHAM, SANDRA RENEECHIEF COMPLIANCE OFFICER2444134

Disclosures

Regulatory Event17
Arbitration3
Bond1

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.

Company Information

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

TRUST BUT VERIFY

Monitor Wendy Feldman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.