Richard Ganz
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.
Richard Ganz was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2021 - December 4, 2024
GROVE POINT ADVISORS, LLC
June 24, 2011 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
August 4, 2003 - December 31, 2023
VANDERBILT SECURITIES, LLC
January 20, 1995 - April 25, 2003
GOLDIS FINANCIAL GROUP, INC.
January 19, 1995 - July 23, 1997
PITTSBURG INSTITUTIONAL INC.
August 14, 1989 - January 17, 1991
GOLDIS FINANCIAL GROUP, INC.
May 4, 1989 - December 4, 2024
GROVE POINT INVESTMENTS, LLC
January 31, 1989 - September 7, 1994
HIBBARD BROWN & CO., INC.
November 2, 1988 - April 22, 1989
CAREY JAMISON & COMPANY
April 11, 1988 - September 7, 1994
HIBBARD BROWN & CO., INC.
February 25, 1986 - April 20, 1988
BUTCHER & SINGER INC.
December 7, 1984 - November 1, 1985
FIRST HUNTINGTON SECURITIES CORP.
July 31, 1978 - February 27, 1984
EMANUEL AND COMPANY
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
GROVE POINT ADVISORS, LLC
CRD#: 313171 / SEC#: 801-56879
Contact information
Regulatory assets under management
| Total Number of Accounts | 9,556 |
| AUM (Assets Under Management) | $ 2,470,347,917 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 10/26/2023 | ||
| 02/28/2023 |
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.
