AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RP

Robert M. Pecha

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5579770
RP

Professional summary

Robert Mark Pecha, who also goes by Robert M Pecha, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2008. Robert has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert M Pecha

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 Robert Mark Pecha'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

April 8, 2020 - 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

May 2, 2019 - April 20, 2020

PRIMEX

BD
CRD#: 29394
NEW YORK, NY
Past

May 21, 2018 - April 18, 2019

CONCORDE ASSET MANAGEMENT, LLC

RIA
CRD#: 140367
Port Jefferson, NY
Past

January 4, 2017 - April 18, 2019

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
Port Jefferson, NY
Past

February 2, 2015 - February 15, 2016

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
Staten Island, NY
Past

October 2, 2013 - October 19, 2016

THE FARAGI GROUP

RIA
CRD#: 159936
NEW YORK, NY
Past

November 28, 2011 - September 12, 2013

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BROOKLYN, NY
Past

March 21, 2011 - October 3, 2011

TD AMERITRADE, INC.

RIA
CRD#: 7870
FOREST HILLS, NY
Past

March 21, 2011 - October 3, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
FOREST HILLS, NY
Past

March 21, 2011 - October 3, 2011

TD AMERITRADE, INC.

BD
CRD#: 7870
FOREST HILLS, NY
Past

November 30, 2009 - April 1, 2011

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
NEW YORK, NY
Past

November 20, 2009 - April 1, 2011

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

May 19, 2009 - November 10, 2009

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NEW YORK, NY
Past

September 16, 2008 - November 10, 2009

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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
California
(4/8/2020)
RR
Connecticut
(5/3/2022)
RR
Florida
(4/8/2020)
RR
Georgia
(6/25/2022)
RR
Idaho
(5/6/2025)
RR
Illinois
(6/23/2023)
RR
Maryland
(6/7/2024)
RR
Massachusetts
(1/24/2023)
RR
New Jersey
(11/4/2020)
RR
New York
(4/8/2020)
RR
Pennsylvania
(6/4/2021)
RR
South Carolina
(7/17/2020)
RR
Texas
(11/16/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/10/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/2008
General Securities Representative 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Robert Pecha

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics