Scott T. Stoltenberg
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.
Scott Thomas Stoltenberg, who also goes by Scott Stoltenberg, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2003. Scott had worked at 4 firms and has passed the Series 66, Series 7 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
December 22, 2009 - July 19, 2012
GROVE POINT INVESTMENTS, LLC
December 2, 2009 - November 10, 2017
ANNEX WEALTH MANAGEMENT, LLC
February 28, 2008 - July 7, 2009
MIDWEST PROFESSIONAL PLANNERS, LTD.
January 16, 2004 - June 30, 2009
EQUITABLE ADVISORS, LLC
December 8, 2003 - June 30, 2009
EQUITABLE ADVISORS, LLC
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.
