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SS

Samuel J. Scoggin

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4451191
SS

Professional summary

Samuel Joseph Scoggin, who also goes by Joe Scoggin, Joey Scoggin, Joseph Scoggin, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2001. Samuel has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Scoggin | Joey Scoggin | Joseph Scoggin

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 Samuel Joseph Scoggin'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

March 19, 2021 - 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
BD
CRD#: 114203
Chicago, IL
Past

October 16, 2017 - March 8, 2021

SIGNAL SECURITIES, INC.

RIA
CRD#: 15916
FORT WORTH, TX
Past

October 12, 2017 - March 8, 2021

SIGNAL SECURITIES, INC.

BD
CRD#: 15916
FORT WORTH, TX
Past

January 9, 2015 - June 12, 2017

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
FORT WORTH, TX
Past

September 8, 2006 - June 12, 2017

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX
Past

April 5, 2004 - December 31, 2004

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

September 24, 2001 - March 28, 2002

KERSHNER TRADING GROUP, LLC

BD
CRD#: 16908
AUSTIN, TX

State Registrations and Notice Filings

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

RR
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

RR
Texas
(3/19/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/18/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/10/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/21/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/21/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/13/2019
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/19/2019
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/29/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

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#: 114203Chicago, IL 60606

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