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JK

Joseph Kocsis

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2423884
JK

Professional summary

Joseph Kocsis, who also goes by Joe Kocsis, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Kocsis

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 Joseph Kocsis'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 4, 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

August 6, 2013 - January 9, 2019

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

March 23, 2010 - June 18, 2013

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

June 11, 2008 - March 30, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
NEW YORK, NY
Past

September 1, 1998 - May 23, 2008

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

November 10, 1993 - August 28, 1998

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY

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
Alaska
(10/1/2025)
RR
Arizona
(2/19/2021)
RR
Arkansas
(6/21/2021)
RR
California
(1/4/2019)
RR
Colorado
(5/3/2022)
RR
Connecticut
(4/4/2023)
RR
Delaware
(1/8/2025)
RR
Florida
(2/5/2021)
RR
Georgia
(1/15/2025)
RR
Hawaii
(12/13/2024)
RR
Illinois
(8/9/2019)
RR
Indiana
(11/22/2021)
RR
Kansas
(5/27/2021)
RR
Maryland
(9/23/2022)
RR
Massachusetts
(7/22/2019)
RR
Michigan
(1/16/2025)
RR
Minnesota
(9/1/2023)
RR
Missouri
(1/11/2021)
RR
New Jersey
(2/6/2019)
RR
New York
(1/4/2019)
RR
North Carolina
(9/24/2020)
RR
Ohio
(2/1/2025)
RR
Oregon
(8/26/2022)
RR
Pennsylvania
(1/4/2019)
RR
Rhode Island
(7/25/2024)
RR
South Carolina
(9/22/2023)
RR
Tennessee
(2/15/2023)
RR
Texas
(7/23/2019)
RR
Utah
(12/18/2024)
RR
Vermont
(4/15/2025)
RR
Virginia
(7/28/2021)
RR
Washington
(4/28/2021)
RR
Wisconsin
(1/16/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/1993
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 7
Date: 11/9/1993
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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