Steven E. Urbiztondo
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.
Steven Emile Urbiztondo, who also goes by Steve Urbiztondon, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1978. Steven had worked at 6 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - October 30, 2020
GROVE POINT INVESTMENTS, LLC
September 8, 2009 - February 28, 2011
LPL FINANCIAL LLC
March 31, 1999 - September 8, 2009
MUTUAL SERVICE CORPORATION
February 17, 1995 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
October 20, 1980 - March 9, 1995
EQUITABLE ADVISORS, LLC
August 24, 1978 - March 9, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 8/17/1978
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.
