Individual Firm
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Howard Bart Raff
HOWARD RAFF DR.
CRD#: 4307069
IA
B
GROVE POINT ADVISORS, LLCCRD#: 313171 Altadena, CA
GROVE POINT INVESTMENTS, LLCCRD#: 1763 ALTADENA, CA
View By:
12/19/2023
Customer Dispute
Settled
9/26/2023
Judgment / Lien
4/23/2019
Judgment / Lien
8/15/2016
Judgment / Lien
State Registrations
B
California 3/14/2007
B
Michigan 8/26/2021
IA
California 4/1/2021
B
New York 3/14/2007
B
Connecticut 7/24/2018
B
North Carolina 7/6/2023
B
District of Columbia 11/17/2015
B
South Carolina 1/16/2019
B
Georgia 6/13/2023
B
Tennessee 7/1/2019
B
Hawaii 4/25/2018
B
Texas 10/2/2023
B
Idaho 2/3/2022
B
Utah 12/15/2023
B
Kansas 7/1/2019
B
Virginia 3/15/2007
B
Maine 3/15/2007
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/14/2007 - 04/01/2021 | WEST COVINA, CA | |
B | 09/18/2001 - 10/12/2017 | WEST COVINA, CA | |
IA | 10/06/2005 - 11/30/2007 | LONG BEACH, CA | |
B | 01/08/2001 - 10/04/2001 | WEEHAWKEN, NJ |
LONG BEACH, CA
10/06/2005 - 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.