Gregory R. Bauer
Professional summary
Gregory Russel Bauer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Gregory had worked at 2 firms, which includes GROVE POINT INVESTMENTS LLC, WADDELL & REED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2013 - September 29, 2016
GROVE POINT INVESTMENTS, LLC
October 22, 2013 - September 29, 2016
GROVE POINT INVESTMENTS, LLC
May 6, 2010 - October 23, 2013
WADDELL & REED
October 19, 2004 - October 23, 2013
WADDELL & REED
January 30, 2003 - October 11, 2004
GROVE POINT INVESTMENTS, LLC
State Registrations and Notice Filings
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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
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