Individual Firm
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DAVID FOOTE GWYNN
CRD#: 232599
IA
B
GROVE POINT ADVISORS, LLCCRD#: 313171 29 LaSalle Parkway
Victor, NY 14564
Victor, NY 14564
GROVE POINT INVESTMENTS, LLCCRD#: 1763 29 LASALLE PARKWAY
VICTOR, NY 14564
VICTOR, NY 14564
View By:
2/11/2020
Customer Dispute
Withdrawn
State Registrations
B
Arizona 2/2/2018
B
New Jersey 1/29/2016
B
Connecticut 1/4/2010
B
New York 1/2/1998
B
Florida 1/2/1998
IA
New York 4/1/2021
B
Georgia 9/2/2009
B
North Carolina 9/2/2004
B
Illinois 11/9/2020
B
Ohio 5/2/2017
B
Maine 1/9/2024
B
Pennsylvania 1/2/1998
B
Maryland 3/5/2020
B
South Carolina 1/2/1998
B
Massachusetts 5/4/2022
B
Texas 10/2/2020
B
Michigan 1/3/2007
B
Virginia 1/2/1998
B
New Hampshire 10/20/2008
SRO Registrations
B
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IA
Registered with this firm since 4/1/2021
B
Registered with this firm since 1/2/1998
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/26/2018 - 04/01/2021 | VICTOR, NY | |
B | 02/13/1995 - 12/31/1997 | GREENWOOD VILLAGE, CO | |
B | 01/13/1995 - 02/06/1995 | BOSTON, MA | |
B | 01/25/1980 - 01/20/1995 | DES MOINES, IA | |
B | 02/11/1969 - 03/11/1980 |
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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.