David F. Sterling
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.
David Fredd Sterling was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 13 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 29, 2016 - December 26, 2018
GROVE POINT INVESTMENTS, LLC
April 28, 2015 - April 28, 2016
THE LEADERS GROUP, INC.
January 17, 2014 - February 26, 2015
VALMARK SECURITIES, INC.
March 25, 2013 - December 20, 2013
J.W. COLE FINANCIAL, INC.
September 15, 2009 - March 26, 2013
THE LEADERS GROUP, INC.
September 29, 2007 - October 3, 2007
QA3 FINANCIAL CORP.
June 27, 2006 - December 31, 2006
SIGNATOR FINANCIAL SERVICES, INC.
June 21, 2006 - December 31, 2006
SIGNATOR FINANCIAL SERVICES, INC.
December 14, 2004 - May 5, 2006
COMERICA SECURITIES
December 6, 2004 - May 5, 2006
COMERICA SECURITIES
June 7, 2004 - August 25, 2004
CINCINNATI ANALYSTS, INC.
April 19, 2004 - August 25, 2004
CINCINNATI ANALYSTS, INC.
August 29, 2003 - April 8, 2004
NBC SECURITIES, INC.
August 29, 2003 - April 8, 2004
NBC SECURITIES, INC.
July 1, 2003 - September 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - September 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
September 2, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 18, 1998 - August 20, 1998
FIRST FUND DISTRIBUTORS, INC.
May 8, 1996 - March 18, 1998
FIDELITY BROKERAGE SERVICES LLC
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.
