Louise B. Goldberg
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.
Louise Bonomo Goldberg was a registered financial professional .
Louise is a previously registered financial professional and started their career in finance in 1999. Louise had worked at 3 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
May 10, 2017 - October 2, 2019
GROVE POINT INVESTMENTS, LLC
January 15, 2010 - May 9, 2017
GROVE POINT INVESTMENTS, LLC
December 7, 2009 - October 2, 2019
GROVE POINT INVESTMENTS, LLC
October 17, 2003 - December 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 16, 2003 - December 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 2, 1999 - October 31, 2003
CITIGROUP GLOBAL MARKETS INC.
July 30, 1999 - October 31, 2003
CITIGROUP GLOBAL MARKETS 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.
