Patricia A. Guter
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.
Patricia Ann Guter was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1994. Patricia had worked at 3 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
October 11, 2005 - May 21, 2015
GROVE POINT INVESTMENTS, LLC
May 8, 2003 - October 10, 2005
GROVE POINT INVESTMENTS, LLC
July 24, 2001 - January 3, 2003
GROVE POINT INVESTMENTS, LLC
June 28, 2001 - May 21, 2015
GROVE POINT INVESTMENTS, LLC
July 17, 2000 - July 10, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 2, 2000 - July 3, 2000
CUNA BROKERAGE SERVICES, INC.
October 6, 1994 - February 17, 2000
RAYMOND JAMES FINANCIAL SERVICES, 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
