Gabriel J. Mengin

GREAT POINT CAPITAL LLC

Chicago, IL 60606

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CRD#: 5067401

Professional summary

Gabriel J Mengin is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Gabriel is registered as a RR (Registered Representative) and started their career in finance in 2005. Gabriel has worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Gabriel J Mengin'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

August 16, 2012 - 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

April 12, 2011 - October 31, 2011

AVATAR SECURITIES, LLC

CRD#: 147763

NEW YORK, NY

Past

April 8, 2009 - June 28, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

NEW YORK, NY

Past

November 17, 2008 - March 24, 2009

VIRTU FINANCIAL BD LLC

CRD#: 148390

AUSTIN, TX

Past

December 19, 2005 - November 7, 2006

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

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

California
(10/18/2019)

Colorado
(5/19/2016)

Florida
(5/19/2016)

Illinois
(5/20/2016)

Michigan
(10/18/2019)

Nevada
(10/18/2019)

New Jersey
(10/18/2019)

New York
(10/18/2019)

Ohio
(5/19/2016)

Texas
(10/18/2019)

Exams

State Security Law Exam

Series 63

Date: 10/22/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/20/2012

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/18/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/2012

General Securities Principal 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

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.

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Gabriel J. Mengin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gabriel J Mengin's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVATAR SECURITIES, LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

VIRTU FINANCIAL BD LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/22/2012

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 9/20/2012

Series 7

Date: 12/18/2005

Series 24

Date: 8/9/2012

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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