Dorothea Geraci

GREAT POINT CAPITAL LLC

Chicago, IL 60606

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CRD#: 3196524

Professional summary

Dorothea Geraci, who also goes by Dorothea N Geraci, Dorothea Natale Geraci, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Dorothea is registered as a RR (Registered Representative) and started their career in finance in 1999. Dorothea has worked at 17 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dorothea N Geraci | Dorothea Natale Geraci

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) - BD

Click below to view Dorothea Geraci's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 9, 2019 - 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 60606

CRD#: 114203

Chicago, IL

Past

July 24, 2017 - October 20, 2017

ALEXANDER CAPITAL, L.P.

CRD#: 40077

STATEN ISLAND, NY

Past

February 13, 2012 - October 14, 2015

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

July 9, 2009 - July 9, 2010

GENESIS SECURITIES, LLC

CRD#: 46992

NEW YORK, NY

Past

August 27, 2008 - July 6, 2009

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

April 15, 2008 - June 30, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

MIAMI BEACH, FL

Past

October 11, 2007 - January 2, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

MIAMI, FL

Past

April 2, 2007 - October 2, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

CORAL GABLES, FL

Past

March 2, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

MIAMI, FL

Past

August 3, 2005 - August 23, 2005

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

June 15, 2004 - March 2, 2005

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

CHICAGO, IL

Past

July 21, 2003 - November 7, 2003

KING FINANCIAL SERVICES, INC.

CRD#: 25843

EDISON, NJ

Past

October 15, 2002 - June 25, 2003

A.B. WATLEY, INC.

CRD#: 797

NEW YORK, NY

Past

June 24, 2002 - October 10, 2002

A.B. WATLEY, INC.

CRD#: 797

NEW YORK, NY

Past

December 5, 2001 - June 20, 2002

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

August 10, 2001 - October 30, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 18, 2000 - March 29, 2001

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

October 15, 1999 - December 18, 2000

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

Past

August 23, 1999 - October 29, 1999

TARPON SCURRY INVESTMENTS, INC.

CRD#: 34635

NEW YORK, NY

Past

June 15, 1999 - July 22, 1999

DALTON KENT SECURITIES GROUP, INC.

CRD#: 38813

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(4/9/2019)

Exams

State Security Law Exam

Series 63

Date: 9/23/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/7/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/14/1999

General Securities Representative Examination

SRO Registrations

FINRA

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Dorothea Geraci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dorothea Geraci's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALEXANDER CAPITAL, L.P.

T3 TRADING GROUP, LLC

GENESIS SECURITIES, LLC

E*TRADE SECURITIES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

GMS GROUP

CHICAGO INVESTMENT GROUP, LLC

KING FINANCIAL SERVICES, INC.

A.B. WATLEY, INC.

A.B. WATLEY, INC.

WORLDCO, L.L.C.

MORGAN STANLEY DW INC.

HAPOALIM SECURITIES USA, INC.

GKN SECURITIES CORP.

TARPON SCURRY INVESTMENTS, INC.

DALTON KENT SECURITIES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/23/2017

Series 57TO

Date: 1/2/2023

SIE

Date: 10/20/2017

Series 55

Date: 2/7/2003

Series 7

Date: 6/14/1999

FINRA

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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