Peter T. Foley
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.
Peter Tryan Foley, who also goes by Pete Foley, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1972. Peter had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1 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
January 15, 2014 - February 28, 2020
GROVE POINT INVESTMENTS, LLC
April 5, 2011 - February 28, 2020
GROVE POINT INVESTMENTS, LLC
July 20, 1990 - April 13, 2011
OSAIC FS, INC.
June 10, 1988 - January 26, 1989
ISBIN INVESTMENTS, INC.
November 21, 1984 - June 14, 1988
MANAGED INVESTMENTS, INC.
January 14, 1977 - April 29, 1979
PROVIDENT MARKETING CORPORATION
May 1, 1972 - January 14, 1977
PLA SECURITIES CORPORATION
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 1
Date: 4/20/1972
Registered 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
