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Syed Baksh

Some features on this profile are disabled
CRD#: 3014237
SB

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.

Syed Baksh was a registered financial professional .

Syed is a previously registered financial professional and started their career in finance in 1998. Syed had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 56, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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

October 18, 2018 - July 29, 2021

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

November 17, 2016 - September 7, 2017

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

June 7, 2016 - October 31, 2016

HOLD BROTHERS CAPITAL LLC

BD
CRD#: 151864
NEW YORK, NY
Past

November 7, 2014 - July 20, 2015

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

April 14, 2014 - November 7, 2014

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

April 19, 2011 - December 8, 2011

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

March 3, 2003 - April 1, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
NEW YORK, NY
Past

June 26, 2002 - March 3, 2003

RUMSON CAPITAL, LLC

BD
CRD#: 33848
MONTEBELLO, NY
Past

May 25, 2001 - December 6, 2001

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

March 25, 1999 - May 10, 2001

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

September 23, 1998 - November 20, 1998

J. P. GIBBONS & CO., INC.

BD
CRD#: 38850
NEW YORK, NY
Past

March 5, 1998 - September 30, 1998

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

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
Series 63
Date: 3/7/1998
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: 9/7/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 4/25/2014
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 55
Date: 11/2/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/4/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/20/2000
General Securities Principal 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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