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TG

Travis Grimm

Some features on this profile are disabled
CRD#: 3185680
TG

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.

Travis Grimm, who also goes by Travis L. Grimm, Travis Lloyd Grimm, was a registered financial professional .

Travis is a previously registered financial professional and started their career in finance in 1999. Travis had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Travis L. Grimm | Travis Lloyd Grimm

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 29, 2025 - September 4, 2025

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

November 11, 2021 - September 4, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
PASADENA, CA
Past

November 11, 2021 - September 4, 2025

SCF SECURITIES, INC.

BD
CRD#: 47275
SAN DIEGO, CA
Past

October 11, 2019 - September 4, 2025

SORRENTO PACIFIC FINANCIAL, LLC

BD
CRD#: 127787
SAN DIEGO, CA
Past

August 13, 2019 - December 9, 2025

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

March 12, 2019 - December 9, 2025

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

March 30, 2018 - December 9, 2025

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
SAN DIEGO, CA
Past

November 4, 2008 - September 9, 2009

ZIONS DIRECT, INC.

BD
CRD#: 17776
SALT LAKE CITY, UT
Past

July 25, 2008 - September 9, 2009

ZIONS CAPITAL ADVISORS, INC.

RIA
CRD#: 131308
SALT LAKE CITY, UT
Past

November 1, 2000 - April 27, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

May 14, 1999 - November 1, 2000

MORGAN STANLEY DEAN WITTER ONLINE INC.

BD
CRD#: 34925
SAN FRANCISCO, CA
Past

February 26, 1999 - April 29, 1999

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/23/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/8/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/30/2018
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/30/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/12/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/11/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

GP
GROVE POINT INVESTMENTS, LLC
CAPITAL FINANCIAL SECURITIES CORPORATION | HIBBARD-BECK, INC. | H. BECK, INC. | GROVE POINT INVESTMENTS, LLC | ESTATE INVESTMENT COMPANY

CRD#: 1763 / SEC#: 801-undefined, 8-31165

BD
Terminated by SEC on 09/30/2025
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Contact information

Main Address
2440 Research Boulevard Suite 500, Rockville, MD 20850
Mailing Address
Phone number
Established
Delaware since 04/01/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
GROVE POINT FINANCIAL, LLCMEMBER
BEARD, KEVIN LAWRENCEPRESIDENT2789109
HAWLEY, AMANDA CANDELMOCORPORATE SECRETARY3214453
TYMKIW, TRISHAPRINCIPAL FINANCIAL OFFICER3197368
WORSHAM, SANDRA RENEECHIEF COMPLIANCE OFFICER2444134

Disclosures

Regulatory Event17
Arbitration3
Bond1

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.

Company Information

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

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