Ronald F. Gawelski
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.
Ronald Frank Gawelski was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1968. Ronald had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - November 14, 2014
GROVE POINT INVESTMENTS, LLC
October 30, 1995 - December 15, 2009
SII INVESTMENTS, INC.
December 11, 1992 - October 16, 1995
WELLINGTON INVESTMENT SERVICES CORP.
August 18, 1987 - April 10, 1990
PIPER SANDLER & CO.
August 18, 1980 - August 20, 1987
A. G. EDWARDS & SONS, INC.
October 3, 1968 - July 5, 1975
BRAUN, MONROE AND COMPANY
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: 9/20/1968
Registered Representative ExaminationSeries 00
Date: 5/30/1975
General Securities Principal 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.
