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WW

Wayne W. Wagner

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2206301
WW

Professional summary

Wayne Warren Wagner is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Wayne is registered as a RR (Registered Representative) and started their career in finance in 1993. Wayne has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 22, Series 24 and Series 26 exams.

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 Wayne Warren Wagner'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

January 8, 2026 - 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

March 3, 2025 - December 31, 2025

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

June 13, 2022 - December 20, 2024

DCMB SECURITIES LLC

BD
CRD#: 146578
HOUSTON, TX
Past

February 4, 2021 - June 13, 2022

INVESTX MARKETS LLC

BD
CRD#: 148248
Vancouver, BC,
Past

October 4, 2019 - August 31, 2020

RUSSELL INVESTMENTS

RIA
CRD#: 105734
SEATTLE, WA
Past

October 2, 2018 - August 31, 2020

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

May 18, 2016 - September 10, 2018

LOCORR DISTRIBUTORS, LLC

BD
CRD#: 41782
EXCELSIOR, MN
Past

May 8, 2015 - May 3, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PARADISE VALLEY, AZ
Past

March 13, 2015 - May 3, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

June 20, 2007 - September 22, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

January 12, 2007 - November 13, 2014

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
EL DORADO HILLS, CA
Past

June 13, 2002 - January 16, 2007

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
AUSTIN, TX
Past

March 3, 2000 - August 8, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

February 28, 1996 - March 9, 2000

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

January 17, 1996 - February 7, 1996

ENTERPRISE FUND DISTRIBUTORS, INC.

BD
CRD#: 883
ATLANTA, GA
Past

December 3, 1993 - January 4, 1996

PHOENIX SECURITIES, INC.

BD
CRD#: 10507
SAN RAFAEL, CA

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
Arizona
(1/16/2026)
RR
California
(1/8/2026)
RR
District of Columbia
(1/14/2026)
RR
Florida
(1/14/2026)
RR
Georgia
(1/14/2026)
RR
Illinois
(1/8/2026)
RR
North Carolina
(1/15/2026)
RR
Tennessee
(1/14/2026)
RR
Texas
(1/8/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/4/2019
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/8/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/18/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/10/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/24/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/15/1996
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 12/2/1993
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/18/2009
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/30/2007
Investment Company Products/Variable Contracts 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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