Nancy Lowe
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.
Nancy Lowe, who also goes by Nan Lowe, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1996. Nancy had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 6TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2014 - July 31, 2020
GROVE POINT INVESTMENTS, LLC
June 9, 2014 - July 31, 2020
GROVE POINT INVESTMENTS, LLC
August 20, 2012 - June 5, 2014
GROVE POINT INVESTMENTS, LLC
August 20, 2012 - June 5, 2014
GROVE POINT INVESTMENTS, LLC
April 27, 2006 - December 4, 2012
CALVERT INVESTMENT MANAGEMENT, INC.
June 18, 2004 - August 16, 2012
CALVERT INVESTMENT DISTRIBUTORS, INC.
October 31, 2003 - May 26, 2004
AMERITAS INVESTMENT COMPANY, LLC
July 18, 2002 - July 22, 2004
THE ADVISORS GROUP, INC.
May 8, 1999 - October 31, 2003
THE ADVISORS GROUP, INC.
May 5, 1997 - April 30, 1999
CALVERT INVESTMENT DISTRIBUTORS, INC.
November 11, 1996 - March 11, 1997
ROBERT W. BAIRD & CO. INCORPORATED
November 11, 1996 - March 11, 1997
NORTHWESTERN MUTUAL INVESTMENT 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
Series 7TO
Date: 9/3/2022
General Securities Representative ExaminationSeries 6TO
Date: 9/3/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 9/3/2022
Municipal Securities Representative ExaminationSeries 99TO
Date: 9/3/2022
Operations Professional ExaminationSeries 57TO
Date: 9/3/2022
Securities Trader ExamSeries 55
Date: 10/13/1999
Limited Representative-Equity Trader ExamCurrent 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.
