Philip M. Cain
Professional summary
Philip Mark Cain was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Philip had worked at 4 firms, which includes GROVE POINT INVESTMENTS LLC, COMMONWEALTH FINANCIAL NETWORK, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2010 - March 9, 2011
GROVE POINT INVESTMENTS, LLC
August 29, 2006 - September 1, 2010
COMMONWEALTH FINANCIAL NETWORK
March 11, 1996 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 11, 1996 - August 28, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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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
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