Anthony Tu
Professional Summary
Anthony Tu, who also goes by Anthony Y Tu, Anthony Young Tu, is a registered financial advisor currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois. Anthony is registered as a RR (Registered Representative) and started their career in finance in 1997. Anthony has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Anthony Y Tu, Anthony Young Tu
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
GREAT POINT CAPITAL LLC | MAVERICK BROKERAGE LLC | GREAT POINT TRADING LLC
Contact Information
Main Address
200 West Jackson Blvd. Suite 1000, Chicago, IL 60606Mailing Address
200 West Jackson Blvd. Suite 1000, Chicago, IL 60606Phone Number
(312) 356-4405Established
Delaware since 08/17/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Nov 2001SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Anthony Tu's CRS (Customer Relationship Summary).
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