David L. Mead
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.
David Livingston Mead was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1968. David had worked at 8 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2002 - December 31, 2012
GROVE POINT INVESTMENTS, LLC
November 4, 1992 - December 31, 1997
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
November 2, 1988 - February 4, 2002
GLOBAL CROWN CAPITAL, LLC
June 11, 1985 - August 28, 1985
DOMIK CORP.
October 22, 1980 - October 14, 1986
RIVIERE SECURITIES CORPORATION
May 31, 1974 - October 30, 1980
FIRST CLEVELAND INVESTMENTS, INC.
May 10, 1974 - February 27, 1984
HORNOR, TOWNSEND & KENT, LLC
March 8, 1968 - August 30, 1972
HILLMEAD INVESTMENT CORP.
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.
