Richard M. Merritt
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.
Richard Michael Merritt, who also goes by Richard M Merritt, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 8 firms and has passed the Series 65, Series 63, 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
May 5, 2008 - August 17, 2016
GROVE POINT INVESTMENTS, LLC
September 27, 2007 - May 19, 2008
SUMMIT BROKERAGE SERVICES, INC.
January 2, 2002 - June 24, 2003
OPPENHEIMER & CO. INC.
February 2, 1998 - January 2, 2002
PRIME CHARTER LTD.
September 1, 1997 - February 12, 1998
DB ALEX. BROWN LLC
November 14, 1995 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
January 20, 1992 - December 21, 1995
GRUNTAL & CO., L.L.C.
July 30, 1991 - February 18, 1992
CIBC WORLD MARKETS CORP.
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
