James L. Scovic
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.
James Liddle Scovic was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 12 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 5, Series 3, Series 1, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2010 - October 2, 2023
GROVE POINT INVESTMENTS, LLC
December 2, 1993 - October 21, 2010
SECURITIES AMERICA, INC.
September 15, 1989 - September 20, 1989
PRUDENTIAL EQUITY GROUP, LLC
September 15, 1989 - November 27, 1993
RONEY & CO. L.L.C.
June 11, 1980 - July 17, 1984
MANLEY, BENNETT, MCDONALD & CO
June 2, 1980 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
November 26, 1979 - November 19, 1983
LEHMAN BROTHERS INC.
January 18, 1978 - November 26, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
December 18, 1975 - January 4, 1977
LOEB, RHOADES & CO. INC.
October 18, 1973 - October 23, 1975
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
May 22, 1973 - November 9, 1973
E. F. HUTTON & COMPANY 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 5/29/1986
Foreign Currency Options ExaminationSeries 5
Date: 9/19/1985
Interest Rate Options ExaminationSeries 1
Date: 5/17/1973
Registered Representative ExaminationSeries 8
Date: 5/25/1983
General Securities Sales Supervisor Examination (Options Module & General Module)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.
