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WG

William H. Gooding

GREAT POINT CAPITAL LLC
AUSTIN, TX 78759
Some features on this profile are disabled
CRD#: 2499431
WG

Professional summary

William Herbert Gooding, who also goes by Bill Gooding, William H Gooding, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Austin, Texas.

William is registered as a RR (Registered Representative) and started their career in finance in 1994. William has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Gooding | William H Gooding

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 William Herbert Gooding'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

December 21, 2017 - Present

GREAT POINT CAPITAL LLC

Office #1: 12301 Research Blvd, Bldg 4 Suite 270, Austin, TX 78759
BD
CRD#: 114203
AUSTIN, TX
Past

April 16, 2013 - December 23, 2015

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

July 22, 2010 - October 31, 2012

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
LAS VEGAS, NV
Past

April 17, 2006 - July 26, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
LAS VEGAS, NV
Past

January 30, 2004 - December 21, 2005

INTERACTIVE BROKERS CORP.

BD
CRD#: 117942
GREENWICH, CT
Past

December 24, 1998 - March 26, 2002

PROTRADER SECURITIES L.P.

BD
CRD#: 35233
AUSTIN, TX
Past

September 30, 1998 - November 12, 1998

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

September 25, 1997 - November 17, 1998

BLOCK TRADING INC.

BD
CRD#: 36666
HOUSTON, TX
Past

February 9, 1996 - March 12, 1997

BLOCK TRADING INC.

BD
CRD#: 36666
HOUSTON, TX
Past

November 27, 1995 - December 20, 1995

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

November 2, 1994 - February 22, 1995

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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
Michigan
(12/26/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 11/23/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/29/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/1/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/15/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/1998
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#: 114203Austin, TX 78759

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