Sandra K. Whitman
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.
Sandra Kay Whitman was a registered financial professional .
Sandra is a previously registered financial professional and started their career in finance in 1973. Sandra had worked at 18 firms and has passed the Series 66, Series 63, PC, Series 000, 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
January 9, 2012 - August 1, 2014
GROVE POINT INVESTMENTS, LLC
January 13, 2010 - August 1, 2014
GROVE POINT INVESTMENTS, LLC
September 8, 2009 - January 14, 2010
LPL FINANCIAL LLC
January 17, 1992 - February 2, 2007
MUTUAL SERVICE CORPORATION
July 6, 1990 - September 8, 2009
MUTUAL SERVICE CORPORATION
February 7, 1989 - April 24, 1990
AMR SECURITIES, INC.
August 25, 1986 - February 10, 1989
RAYMOND JAMES & ASSOCIATES, INC.
November 25, 1985 - May 31, 1986
FINANCIAL SPECIALISTS, INC.
August 9, 1985 - August 15, 1986
EASTER KRAMER GROUP SECURITIES, INC.
February 7, 1985 - August 19, 1985
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 2, 1984 - February 21, 1985
UBS FINANCIAL SERVICES INC.
January 19, 1981 - February 23, 1984
PRUDENTIAL EQUITY GROUP, LLC
May 6, 1980 - December 29, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
October 29, 1979 - May 3, 1980
CITIGROUP GLOBAL MARKETS INC.
December 15, 1977 - August 11, 1980
CIBC WORLD MARKETS CORP.
January 12, 1977 - December 11, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
November 14, 1974 - January 24, 1977
KIDDER, PEABODY & CO., INCORPORATED
February 7, 1974 - January 10, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 6, 1974 - March 25, 1974
DUPONT WALSTON, INCORPORATED
November 29, 1973 - February 25, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
September 7, 1973 - October 30, 1973
DUPONT WALSTON, INCORPORATED
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
PC
Date: 1/1/1978
AMEX Put and Call ExamSeries 000
Date: 8/25/1973
General Securities Principal ExaminationSeries 1
Date: 8/25/1973
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
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.
