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TM

Timothy G. Marshall

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2037031
TM

Professional summary

Timothy George Marshall, who also goes by George Timothy Marshall, Tim Marshall, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1990. Timothy has worked at 10 firms and has passed the Series 63, SIE, Series 22, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Timothy Marshall | Tim Marshall

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 Timothy George Marshall'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

August 23, 2019 - 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

September 27, 2018 - August 26, 2019

PRIMEX

BD
CRD#: 29394
NEW YORK, NY
Past

June 19, 2017 - November 29, 2017

LIGHTHOUSE CAPITAL GROUP, LLC

BD
CRD#: 169135
PASADENA, CA
Past

March 13, 2017 - April 9, 2017

SGMA CAPITAL MARKETS LIMITED

BD
CRD#: 135327
SANTA MONICA, CA
Past

June 5, 2015 - March 17, 2017

MCDERMOTT INVESTMENT SERVICES, LLC

BD
CRD#: 154926
SANTA MONICA, CA
Past

January 16, 2015 - June 9, 2015

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
SANDY, UT
Past

June 28, 2011 - January 28, 2015

MCDERMOTT INVESTMENT SERVICES, LLC

BD
CRD#: 154926
SANTA MONICA, CA
Past

September 2, 2010 - April 28, 2011

OMNI BROKERAGE, INC.

BD
CRD#: 16878
SOUTH JORDAN, UT
Past

August 10, 2010 - August 16, 2010

UNITED EQUITY SECURITIES, LLC

BD
CRD#: 47261
HUSTON, TX
Past

February 26, 2010 - August 9, 2010

UNITED EQUITY SECURITIES, LLC

BD
CRD#: 47261
HUSTON, TX
Past

July 26, 2005 - February 8, 2010

DIRECT CAPITAL SECURITIES, INC.

BD
CRD#: 29639
AUSTIN, TX
Past

March 20, 1990 - August 27, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556

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
California
(8/23/2019)
RR
Florida
(8/10/2021)
RR
Indiana
(8/7/2020)
RR
Iowa
(1/14/2020)
RR
Louisiana
(4/9/2021)
RR
Mississippi
(11/21/2019)
RR
Oklahoma
(9/12/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 6/20/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 6/14/2005
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 7/26/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1990
General Securities Representative 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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