James T. Manning
Professional summary
James Thomas Manning is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Thomas Manning's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2010 - 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 60606March 3, 2003 - August 16, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
April 3, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
December 18, 2001 - March 8, 2002
PROTRADER SECURITIES L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/9/2020)
(10/22/2010)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/8/2002
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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