Craig A. Pierson

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CRD#: 2877285

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.

Craig Alan Pierson was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 1997. Craig had worked at 12 firms and has passed the Series 63, SIE and Series 7 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

April 21, 2020 - April 24, 2020

GREAT POINT CAPITAL LLC

CRD#: 114203

CHICAGO, IL

Past

October 11, 2018 - February 25, 2020

AEGIS CAPITAL CORP.

CRD#: 15007

FT LAUDERDALE, FL

Past

April 2, 2015 - October 16, 2018

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

FORT LAUDERDALE, FL

Past

January 22, 2010 - April 15, 2015

AURORA CAPITAL LLC

CRD#: 37924

BRIDGEHAMPTON,, NY

Past

February 3, 2009 - January 8, 2010

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

FT. LAUDERDALE, FL

Past

September 21, 2006 - October 21, 2008

LEGEND MERCHANT GROUP, INC.

CRD#: 5155

FORT LAUDERDALE, FL

Past

February 11, 2005 - October 19, 2006

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

BOCA RATON, FL

Past

August 23, 2001 - March 8, 2005

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

November 5, 1999 - September 4, 2001

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

September 11, 1998 - October 27, 1999

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

Past

August 14, 1998 - September 21, 1998

FIRST PROVIDENCE FINANCIAL GROUP, LLC

CRD#: 39469

PORT WASHINGTON, NY

Past

June 17, 1997 - August 4, 1998

WALSH MANNING SECURITIES, LLC

CRD#: 30826

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: 5/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/1997

General Securities Representative 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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Advisor Monitoring

Firm Stability Insights

Craig A. Pierson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AEGIS CAPITAL CORP.

NEWBRIDGE SECURITIES CORPORATION

AURORA CAPITAL LLC

JESUP & LAMONT SECURITIES CORP

LEGEND MERCHANT GROUP, INC.

DAWSON JAMES SECURITIES, INC.

JANNEY MONTGOMERY SCOTT LLC

GRUNTAL & CO., L.L.C.

ROYCE INVESTMENT GROUP, INC.

FIRST PROVIDENCE FINANCIAL GROUP, LLC

WALSH MANNING SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1997

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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