Steven B. Levy
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.
Steven Bailey Levy was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1970. Steven had worked at 13 firms and has passed the Series 63, Series 7, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 1990 - December 31, 1991
GROVE POINT INVESTMENTS, LLC
October 20, 1989 - September 14, 1990
ISLAND PLANNING CORP. OF AMERICA
February 8, 1989 - September 19, 1989
JANNEY MONTGOMERY SCOTT LLC
April 20, 1988 - February 10, 1989
A. G. EDWARDS & SONS, INC.
November 18, 1980 - April 26, 1984
PRUDENTIAL EQUITY GROUP, LLC
May 7, 1979 - December 17, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1978 - April 16, 1979
LOEB PARTNERS
July 26, 1977 - April 16, 1979
LOEB RHOADES & CO. INC.
November 17, 1976 - August 22, 1977
SHEARSON HAYDEN STONE INC.
March 10, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
November 12, 1975 - February 13, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
March 28, 1973 - October 19, 1973
EXECUTIVE SECURITIES CORP.
March 26, 1970 - February 26, 1974
S B LEVY & CO INC
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 000
Date: 7/18/1966
General Securities Principal ExaminationSeries 1
Date: 7/18/1966
Registered Representative ExaminationSeries 00
Date: 3/16/1970
General Securities Principal ExaminationCurrent 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.
