Richard L. Strean
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 Lockey Strean was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 4 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
April 16, 2015 - July 3, 2017
GROVE POINT INVESTMENTS, LLC
March 31, 2010 - April 16, 2015
STREAN FINANCIAL SERVICES, LLC
August 26, 2003 - March 31, 2010
GROVE POINT INVESTMENTS, LLC
August 26, 2003 - July 3, 2017
GROVE POINT INVESTMENTS, LLC
December 7, 2001 - September 11, 2003
LEGG MASON WOOD WALKER, INCORPORATED
September 15, 2001 - September 11, 2003
LEGG MASON WOOD WALKER, INCORPORATED
September 16, 1996 - September 15, 2001
HOWARD WEIL INCORPORATED
July 21, 1995 - September 27, 1996
LEGG MASON WOOD WALKER, INCORPORATED
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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