Individual Firm
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Heidi Sue Kennedy
HEIDI S. MENTZER
CRD#: 4476699
IA
B
GROVE POINT ADVISORS, LLCCRD#: 313171 Claysburg, PA
GROVE POINT INVESTMENTS, LLCCRD#: 1763 Claysburg, PA
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4/19/2007
Employment Separation After Allegations
State Registrations
B
California 6/2/2021
B
North Carolina 4/12/2021
B
Delaware 5/13/2021
B
Pennsylvania 1/20/2011
B
Illinois 1/21/2025
IA
Pennsylvania 4/1/2021
B
Indiana 1/14/2025
B
West Virginia 11/14/2024
B
Maryland 11/14/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/20/2011 - 04/01/2021 | ROCKVILLE, MD | |
IA | 08/14/2008 - 12/31/2010 | CLAYSBURG, PA | |
B | 05/29/2007 - 12/31/2010 | EL SEGUNDO, CA | |
B | 12/11/2001 - 04/23/2007 | PITTSBURGH, PA |
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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.