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Dawn Lee James

Grove Point Investments, LLC

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About Dawn Lee James

Dawn Lee James is a financial advisor with over 20 years of experience in the financial services industry. Dawn is currently registered with Grove Point Investments, LLC, and has previously worked with Genworth Financial Securities Corporation, C. J. M. Planning Corp., and Terra Securities Corporation. Dawn has a Series 6, Series 63, and SIE license. Dawn has experience in various financial products and services. Dawn specializes in working with clients in Lutherville, Maryland.

Firm Information

Dawn James is currently registered with Grove Point Investments, LLC. Grove Point Investments, LLC is a Limited Liability Company formed on April 1, 2021, and registered in all 50 states and the District of Columbia. The firm has been the subject of 17 regulatory events and 3 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Dawn James’s Registration & Firm History

MD

11/17/2005 - Present

Grove Point Investments, LLC (Lutherville MD)

IL

10/24/2005 - 12/05/2005

GENWORTH FINANCIAL SECURITIES CORPORATION (SCHAUMBURG IL)

NJ

07/24/2001 - 10/24/2005

C. J. M. PLANNING CORP. (POMPTON LAKES NJ)

IL

08/04/2000 - 07/10/2001

TERRA SECURITIES CORPORATION (SCHAUMBURG IL)

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Licenses & Designations

BC

Issued 09/07/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/03/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dawn Lee James.
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