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Norma J. Nisbet

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5590290
NN

Professional summary

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

Norma is registered as a RR (Registered Representative) and started their career in finance in 2008. Norma has worked at 6 firms and has passed the Series 63, SIE and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Norma J Nisbet'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

June 9, 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

April 17, 2020 - June 9, 2020

MCDERMOTT INVESTMENT SERVICES, LLC

BD
CRD#: 154926
NAPLES, FL
Past

January 25, 2016 - April 16, 2020

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
ST LOUIS, MO
Past

January 22, 2014 - December 31, 2015

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
ST. LOUIS, MO
Past

January 4, 2010 - February 27, 2012

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
MARIETTA, GA
Past

October 27, 2008 - December 7, 2009

MICG INVESTMENT MANAGEMENT, LLC

BD
CRD#: 104028
NEWPORT NEWS, VA

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
Arizona
(1/8/2024)
RR
California
(3/1/2022)
RR
Georgia
(6/9/2020)
RR
Idaho
(6/9/2020)
RR
Illinois
(6/9/2020)
RR
Kansas
(6/16/2022)
RR
Kentucky
(6/9/2020)
RR
Missouri
(6/9/2020)
RR
New York
(8/13/2021)
RR
Ohio
(12/8/2021)
RR
Tennessee
(4/16/2024)
RR
Wisconsin
(10/24/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 10/24/2008
Direct Participation Programs 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)
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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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