David F. Platt
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.
David Francis Platt was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2010 - December 31, 2020
GROVE POINT INVESTMENTS, LLC
March 25, 2010 - December 31, 2020
GROVE POINT INVESTMENTS, LLC
May 4, 2006 - March 29, 2010
GUNNALLEN FINANCIAL, INC
October 20, 2005 - March 29, 2010
GUNNALLEN FINANCIAL, INC
January 27, 1997 - October 19, 2005
INVESTORS SECURITY COMPANY, INC.
December 19, 1990 - January 27, 1997
LEGG MASON WOOD WALKER, INCORPORATED
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 (3 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.
