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EK

Eugene J. Katz

Some features on this profile are disabled
CRD#: 2947224
EK

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.

Eugene Joseph Katz, who also goes by Eugene Katz, Gene Joseph Katz, Gene Katz, was a registered financial professional .

Eugene is a previously registered financial professional and started their career in finance in 2001. Eugene had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, Series 79TO, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eugene Katz | Gene Joseph Katz | Gene Katz

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 30, 2020 - October 19, 2022

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

October 17, 2016 - April 24, 2018

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

January 27, 2015 - September 9, 2016

CALAMOS ADVISORS LLC

RIA
CRD#: 105758
NAPERVILLE, IL
Past

January 27, 2015 - September 9, 2016

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

November 15, 2013 - January 22, 2015

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

January 1, 2013 - November 25, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DEERFIELD, IL
Past

December 21, 2012 - November 25, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
DEERFIELD, IL
Past

February 29, 2012 - October 29, 2012

TACTICAL ALLOCATION GROUP, LLC

RIA
CRD#: 132451
BIRMINGHAM, MI
Past

January 6, 2010 - November 29, 2011

WILLIAM BLAIR

RIA
CRD#: 1252
CHICAGO, IL
Past

January 6, 2010 - November 29, 2011

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

August 27, 2009 - November 17, 2009

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

May 1, 2009 - August 13, 2009

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
CHICAGO, IL
Past

April 23, 2009 - August 13, 2009

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
CHICAGO, IL
Past

September 22, 2008 - February 12, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

August 5, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

February 9, 2006 - February 5, 2007

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

January 3, 2005 - January 3, 2006

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

October 29, 2004 - November 29, 2004

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

March 28, 2003 - October 2, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

January 2, 2001 - February 25, 2002

GELBER SECURITIES, LLC

BD
CRD#: 18367
CHICAGO, IL

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
RR
IAR
Series 66
Date: 4/29/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/20/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 4/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/14/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/30/2000
General Securities Representative Examination

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#: 114203

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