Individual Firm
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Kevin Joseph Conway
CRD#: 1333996
IA
B
GROVE POINT ADVISORS, LLCCRD#: 313171 17862 East 17th Street
Suite 212
Tustin, CA 92780
Suite 212
Tustin, CA 92780
GROVE POINT INVESTMENTS, LLCCRD#: 1763 17862 E. 17th Street
Suite 212
Tustin, CA 92780
Suite 212
Tustin, CA 92780
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11/24/2003
Customer Dispute
Settled
State Registrations
B
Arizona 4/3/2017
B
Nevada 3/21/2007
B
California 3/20/2007
B
New York 10/17/2011
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California 4/1/2021
B
North Carolina 8/7/2024
B
Colorado 3/19/2008
B
Ohio 2/14/2011
B
Idaho 1/8/2014
B
Oregon 10/30/2014
B
Illinois 11/15/2011
B
Pennsylvania 5/16/2017
B
Indiana 1/29/2021
B
Tennessee 1/9/2024
B
Iowa 3/21/2007
B
Texas 4/5/2007
B
Kansas 2/24/2022
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Texas 12/21/2023
B
Louisiana 1/17/2013
B
Utah 10/7/2019
B
Massachusetts 3/21/2007
B
Washington 8/18/2017
B
Missouri 4/14/2020
B
Wisconsin 3/21/2007
B
Nebraska 2/3/2025
SRO Registrations
B
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Registered with this firm since 4/1/2021
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Registered with this firm since 3/20/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/23/1985 - 12/14/2023 | TUSTIN, CA | |
IA | 03/20/2007 - 04/01/2021 | TUSTIN, CA | |
IA | 09/12/2006 - 11/30/2007 | LONG BEACH, CA |
LONG BEACH, CA
09/12/2006 - 11/30/2007
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.