Tamika L. Franks
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.
Tamika Lynetta Franks, who also goes by Tamika Francis, was a registered financial professional .
Tamika is a previously registered financial professional and started their career in finance in 1999. Tamika had worked at 6 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2012 - September 12, 2013
GROVE POINT INVESTMENTS, LLC
October 12, 2011 - July 27, 2012
CLARK SECURITIES, INC.
June 5, 2007 - September 22, 2011
FIRST CITIZENS INVESTOR SERVICES, INC.
February 21, 2006 - June 14, 2007
CITIGROUP GLOBAL MARKETS INC.
April 6, 2004 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
April 14, 1999 - May 22, 2002
T. ROWE PRICE INVESTMENT SERVICES, 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
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.
