Arthur J. Brodsky
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.
Arthur James Brodsky, who also goes by A James Brodsky, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1998. Arthur had worked at 6 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
July 15, 2014 - July 16, 2019
GROVE POINT INVESTMENTS, LLC
July 15, 2014 - July 16, 2019
GROVE POINT INVESTMENTS, LLC
June 17, 2014 - July 14, 2014
FINANCIAL TELESIS INC
June 17, 2014 - July 14, 2014
FINANCIAL TELESIS INC
June 5, 2013 - June 6, 2014
COLISEUM WEALTH MANAGEMENT, LLC
February 22, 2013 - June 9, 2014
TRIAD ADVISORS LLC
January 5, 2006 - March 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 26, 2005 - March 5, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
November 3, 1998 - September 8, 2005
EDWARD JONES
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.
