Thomas D. Prunty
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.
Thomas Dennis Prunty was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1966. Thomas had worked at 9 firms and has passed the Series 7TO, SIE, Series 1 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 17, 2004 - August 1, 2024
GROVE POINT INVESTMENTS, LLC
March 1, 1999 - August 16, 2004
NATIONAL PLANNING CORPORATION
May 18, 1995 - March 3, 1999
IFG NETWORK SECURITIES, INC.
March 2, 1989 - May 18, 1995
FSC SECURITIES CORPORATION
May 20, 1988 - March 2, 1989
J. T. MORAN & CO., INC.
May 17, 1985 - May 20, 1988
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
July 6, 1983 - May 31, 1985
WZW FINANCIAL SERVICES, INC.
July 17, 1981 - July 5, 1983
CORNERSTONE FINANCIAL SERVICES, INC.
August 26, 1966 - July 29, 1981
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 8/24/1966
Registered Representative ExaminationCurrent 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
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