Anthony Tu
Professional summary
Anthony Tu, who also goes by Anthony Y Tu, Anthony Young Tu, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony Tu's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 3, 2017 - 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 60606April 18, 2016 - September 27, 2017
QUASAR TRADING, LLC
November 7, 2014 - April 7, 2016
T3 TRADING GROUP, LLC
October 19, 2011 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
April 27, 2011 - October 13, 2011
OCEAN VIEW CAPITAL, LLC
April 14, 2004 - August 27, 2009
TAFFERER TRADING, LLC
July 15, 2002 - March 25, 2004
CARLIN EQUITIES, LLC
July 10, 1997 - November 6, 1998
WORLDCO, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/17/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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