Dennis G. Williams
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.
Dennis Gary Williams was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1999. Dennis had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2021 - December 31, 2022
GROVE POINT ADVISORS, LLC
January 15, 2014 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
September 30, 2011 - December 31, 2022
GROVE POINT INVESTMENTS, LLC
April 14, 1999 - October 11, 2011
TRANSAMERICA FINANCIAL ADVISORS, 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 ADVISORS, LLC
CRD#: 313171 / SEC#: 801-56879
Contact information
Regulatory assets under management
| Total Number of Accounts | 9,556 |
| AUM (Assets Under Management) | $ 2,470,347,917 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 10/26/2023 | ||
| 02/28/2023 |
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.
