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SW

Steven J. Waldman

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 1107500
SW

Professional summary

Steven Jay Waldman is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1983. Steven has worked at 16 firms and has passed the Series 63, SIE, Series 22TO, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Jay Waldman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 16, 2024 - Present

GREAT POINT CAPITAL LLC

Office #1: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606Office #2: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606
BD
CRD#: 114203
Chicago, IL
Past

January 21, 2021 - May 19, 2024

ORCHARD SECURITIES, LLC

BD
CRD#: 133378
PLEASANT GROVE, UT
Past

January 19, 2019 - January 22, 2021

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

February 10, 1998 - July 13, 1998

A.J. MICHAELS & CO., LTD.

BD
CRD#: 19883
HAUPPAUGE, NY
Past

July 10, 1997 - January 14, 1998

SHARPE CAPITAL, INC.

BD
CRD#: 18452
NEW YORK, NY
Past

October 28, 1993 - July 15, 1994

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

December 23, 1991 - July 22, 1993

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

March 26, 1990 - January 15, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 4, 1989 - February 20, 1990

BALIS & ZORN INC.

BD
CRD#: 7711
NEW YORK, NY
Past

March 14, 1989 - August 14, 1989

WS SECURITIES INCORPORATED

BD
CRD#: 21491
LENOX, MA
Past

August 25, 1986 - February 28, 1989

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
Past

January 24, 1986 - August 25, 1986

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

July 30, 1985 - February 19, 1986

KUHNS BROTHERS & LAIDLAW, INC.

BD
CRD#: 1481
Past

June 11, 1984 - July 15, 1985

CREATIVE SECURITIES CORP.

BD
CRD#: 3509
Past

November 25, 1983 - June 4, 1984

F.N. WOLF & CO., INC.

BD
CRD#: 13051
Past

April 19, 1983 - May 10, 1983

BROADCHILD SECURITIES CORP.

BD
CRD#: 7702

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(10/17/2024)
RR
Florida
(10/22/2024)
RR
New Jersey
(10/29/2024)
RR
New York
(10/29/2024)
RR
Pennsylvania
(10/30/2024)
RR
Rhode Island
(10/30/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/12/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/19/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22TO
Date: 11/20/2018
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GP
GREAT POINT CAPITAL LLC
GREAT POINT CAPITAL LLC | MAVERICK BROKERAGE LLC | GREAT POINT TRADING LLC

CRD#: 114203 / SEC#: , 8-53402

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 West Jackson Blvd. Suite 1000, Chicago, IL 60606
Mailing Address
200 West Jackson Blvd. Suite 1000, Chicago, IL 60606
Phone number
(312) 356-4405
Established
Delaware since 08/17/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GREAT POINT TRADING LLCMEMBER
DEBELL, GLENN TOWNSENDCCO, SROP, AMLCO2407360
MENGIN, GABRIEL JPRESIDENT5067401
PETERS, ROBERT WILLIAMFINOP1704577

Disclosures

Regulatory Event11

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

GREAT POINT CAPITAL LLC

CRD#: 114203Chicago, IL 60606

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