James D. Weston
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.
James Dale Weston was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 10 firms and has passed the 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
December 16, 2009 - July 10, 2018
GROVE POINT INVESTMENTS, LLC
September 8, 2009 - December 22, 2009
LPL FINANCIAL LLC
October 25, 2002 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
August 13, 2001 - October 31, 2002
FFP ADVISORY SERVICES INC
March 12, 2001 - October 31, 2002
FFP SECURITIES, INC.
January 14, 1999 - April 13, 2001
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 11, 1998 - February 23, 1999
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1994 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
May 10, 1994 - September 1, 1994
HAMILTON INVESTMENTS, INC.
January 28, 1993 - April 5, 1994
FREDERICK & COMPANY, 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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