John P. Neppel
Professional summary
John Paul Neppel, who also goes by John Neppel, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.
John is registered as a RR (Registered Representative) and started their career in finance in 2005. John has worked at 10 firms and has passed the Series 66, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Paul Neppel's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2011 - 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 60606August 4, 2014 - December 31, 2018
GREAT POINT ADVISORS LLC
August 7, 2012 - December 31, 2013
GREAT POINT ADVISORS LLC
January 27, 2011 - October 11, 2011
INTERNATIONAL ASSETS ADVISORY, LLC
August 10, 2010 - September 7, 2012
BROKERSXPRESS LLC
August 10, 2010 - June 23, 2011
BROKERSXPRESS LLC
March 9, 2010 - July 15, 2010
JESUP & LAMONT ADVISORS
June 4, 2009 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
June 4, 2009 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
September 17, 2007 - October 6, 2009
INTEROCEAN WEALTH MANAGEMENT LLC
September 17, 2007 - April 28, 2009
INTEROCEAN SECURITIES LLC
April 2, 2007 - September 5, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - September 5, 2007
MORGAN STANLEY & CO. LLC
September 29, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
September 9, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/3/2018)
(2/16/2018)
(7/12/2017)
(4/2/2020)
(4/13/2020)
(3/1/2018)
(10/21/2019)
(7/25/2019)
(10/12/2011)
(4/29/2020)
(3/14/2018)
(10/12/2011)
(12/21/2016)
(12/20/2011)
(4/28/2017)
(1/24/2017)
(1/17/2017)
(7/5/2023)
(2/13/2017)
(7/19/2019)
(6/17/2020)
(8/23/2018)
(11/21/2019)
(4/7/2017)
(4/6/2017)
(8/21/2018)
(5/27/2020)
(11/30/2017)
(4/14/2020)
(4/28/2017)
(4/13/2020)
(10/5/2018)
(8/13/2018)
(6/21/2017)
(1/23/2017)
(4/20/2017)
(2/22/2018)
(3/1/2019)
(1/10/2017)
(6/12/2017)
(11/4/2016)
(4/14/2020)
(2/22/2018)
(4/5/2019)
(8/3/2017)
(7/13/2018)
(3/5/2020)
(4/29/2020)
(3/23/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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.
