James W. Piff

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CRD#: 1991874

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Walter Piff was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1989. James had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 13, 2020 - May 24, 2021

GREAT POINT CAPITAL LLC

CRD#: 114203

CHICAGO, IL

Past

July 21, 2017 - September 25, 2018

NATIONAL SECURITIES CORPORATION

CRD#: 7569

LOMBARD, IL

Past

January 19, 2016 - February 9, 2017

MIDTOWN PARTNERS

CRD#: 104223

Chicago, IL

Past

November 11, 2014 - December 28, 2015

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

December 7, 2012 - November 10, 2014

FELTL & COMPANY

CRD#: 6905

PLYMOUTH, MN

Past

October 3, 2003 - November 20, 2012

ADVANCED EQUITIES, INC.

CRD#: 35545

CHICAGO, IL

Past

April 19, 1994 - November 7, 2002

SANCTUARY SECURITIES, INC.

CRD#: 205

MIAMI, FL

Past

November 25, 1992 - April 19, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 16, 1991 - November 6, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 15, 1990 - October 23, 1991

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 15, 1990 - October 23, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 7, 1990 - September 13, 1990

WILLIAM BARTON FINANCIAL, INC.

CRD#: 13893

Past

May 2, 1990 - May 18, 1990

BOUCHER, OEHMKE & COMPANY

CRD#: 17470

Past

October 26, 1989 - December 21, 1989

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/10/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/2016

General Securities Principal Examination

Current Firm

GREAT POINT CAPITAL LLC

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

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GREAT POINT TRADING LLC	MEMBER
DEBELL, GLENN TOWNSEND	CCO, SROP, AMLCO	2407360
MENGIN, GABRIEL J	PRESIDENT	5067401
PETERS, ROBERT WILLIAM	FINOP	1704577

Disclosures

Regulatory Event

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.

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Firm Stability Insights

James W. Piff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONAL SECURITIES CORPORATION

MIDTOWN PARTNERS

PAULSON INVESTMENT COMPANY LLC

FELTL & COMPANY

ADVANCED EQUITIES, INC.

SANCTUARY SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

WILLIAM BARTON FINANCIAL, INC.

BOUCHER, OEHMKE & COMPANY

BLINDER, ROBINSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/10/1989

SIE

Date: 9/25/2018

Series 7

Date: 10/21/1989

Series 24

Date: 6/22/2016

Current Firm

GREAT POINT CAPITAL LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GREAT POINT CAPITAL LLC

TRUST BUT VERIFY

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