Individual Firm
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Eugene Alan Cheng
CRD#: 807503
IA
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GROVE POINT ADVISORS, LLCCRD#: 313171 Rolling Hills Estates, CA
GROVE POINT INVESTMENTS, LLCCRD#: 1763 Rolling Hills Estates, CA
View By:
11/21/2008
Customer Dispute
Denied
State Registrations
B
California 2/8/2011
B
New York 2/8/2011
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California 7/16/2021
B
Texas 2/8/2011
B
Georgia 8/11/2020
B
Virginia 9/20/2023
B
Louisiana 2/8/2011
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 7/16/2021
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Registered with this firm since 2/8/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/09/2011 - 08/08/2017 | ROCKVILLE, MD | |
IA | 07/07/2009 - 01/31/2011 | HERMOSA BEACH, CA | |
B | 07/02/2009 - 01/31/2011 | HERMOSA BEACH, CA | |
IA | 06/07/2006 - 07/01/2009 | LOS ANGELES, CA | |
B | 06/07/2006 - 07/01/2009 | LOS ANGELES, CA | |
IA | 07/01/2003 - 06/07/2006 | CARLSBAD, CA | |
B | 07/01/2003 - 06/07/2006 | CARLSBAD, CA | |
IA | 03/27/1998 - 07/01/2003 | ENCINO, CA | |
B | 08/01/1989 - 07/01/2003 | NEW YORK, NY | |
B | 05/04/1988 - 07/17/1989 | ||
B | 07/12/1984 - 05/23/1988 | ||
B | 01/18/1982 - 07/19/1984 | ||
B | 03/12/1979 - 03/30/1982 | ||
B | 05/19/1978 - 03/26/1979 | ||
B | 02/08/1978 - 03/26/1979 | ||
B | 04/18/1977 - 03/09/1978 | ||
B | 04/24/1975 - 05/15/1977 |
02/08/1978 - 03/26/1979
04/18/1977 - 03/09/1978
04/24/1975 - 05/15/1977
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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.