Andrew J. Franz
Professional summary
Andrew Joseph Franz 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.
Andrew is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Andrew had worked at 5 firms, which includes GROVE POINT INVESTMENTS LLC, FORTUNE FINANCIAL SERVICES INC., SIGMA FINANCIAL CORPORATION, QUESTAR CAPITAL CORPORATION, ALLEGHENY INVESTMENTS LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2010 - March 8, 2011
GROVE POINT INVESTMENTS, LLC
February 18, 2008 - October 22, 2010
FORTUNE FINANCIAL SERVICES, INC.
October 30, 2006 - May 24, 2007
SIGMA FINANCIAL CORPORATION
November 7, 2005 - September 25, 2006
QUESTAR CAPITAL CORPORATION
February 8, 2002 - November 21, 2005
ALLEGHENY INVESTMENTS, LTD.
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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