Douglas J. Ketterer
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 John Ketterer, who also goes by Douglas John Ketterer, Douglas Ketterer, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 9 firms and has passed the SIE, Series 7 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
September 27, 2023 - May 1, 2025
GROVE POINT INVESTMENTS, LLC
April 20, 2021 - May 1, 2025
SCF SECURITIES, INC.
June 18, 2019 - May 1, 2025
NEXT FINANCIAL GROUP, INC.
October 30, 2018 - May 1, 2025
CADARET, GRANT & CO., INC.
January 8, 2018 - May 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
January 8, 2018 - May 1, 2025
CUSO FINANCIAL SERVICES, L.P.
June 1, 2009 - June 30, 2015
MORGAN STANLEY
July 24, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
August 6, 2001 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 8, 1994 - July 24, 2001
MORGAN STANLEY DW 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.
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