Joshua D. Slaybaugh
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.
Joshua Daniel Slaybaugh, who also goes by Josh Slaybaugh, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2002. Joshua had worked at 15 firms and has passed the Series 63, Series 66, SIE, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2019 - January 10, 2025
GREAT POINT CAPITAL LLC
December 14, 2017 - October 8, 2019
PRIMEX
April 27, 2016 - December 8, 2017
LIGHTHOUSE CAPITAL GROUP, LLC
March 11, 2013 - May 9, 2013
SANDLAPPER SECURITIES, LLC
March 3, 2011 - June 18, 2012
REGENT CAPITAL GROUP, INC.
April 9, 2010 - December 31, 2010
FINANCIAL WEST GROUP
April 8, 2010 - December 31, 2010
FINANCIAL WEST GROUP
November 20, 2008 - April 6, 2010
PRIVATE ASSET GROUP, INC.
May 15, 2007 - November 24, 2008
DIRECT CAPITAL SECURITIES, INC.
August 30, 2006 - May 11, 2007
AFA ADVISOR SERVICES LLC
June 16, 2006 - May 11, 2007
AFA FINANCIAL GROUP, LLC
October 21, 2005 - June 22, 2006
EQUITY SERVICES, INC.
December 13, 2003 - September 7, 2005
GRUBB & ELLIS SECURITIES, INC.
February 4, 2003 - December 15, 2003
DIRECTED SERVICES LLC
June 12, 2002 - February 4, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 2002 - February 4, 2003
IDS LIFE INSURANCE COMPANY
February 22, 2002 - February 4, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
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.
