Richard M. Humphrey
Professional summary
Richard Miles Humphrey is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 1 firm and has passed the Series 57TO, SIE, Series 55 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Miles Humphrey's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2006 - 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 60606State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/8/2006
Limited Representative-Equity Trader ExamSeries 62
Date: 4/3/2006
Corporate Securities Limited Representative 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
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