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NH

Nicholas D. Headley

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6154131
NH

Professional summary

Nicholas Daniel Headley, who also goes by Nick Daniel Headley, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2014. Nicholas has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Daniel Headley

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 Nicholas Daniel Headley'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 14, 2024 - 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

August 5, 2020 - June 17, 2024

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
RICHMOND, VA
Past

March 17, 2020 - May 11, 2020

SELECT CAPITAL CORPORATION

BD
CRD#: 145997
SAN JUAN CAPISTRANO, CA
Past

January 26, 2017 - March 18, 2020

TRITON PACIFIC SECURITIES, LLC

BD
CRD#: 139919
Laguna Niguel, CA
Past

November 11, 2015 - March 15, 2017

AXIOM CAPITAL MANAGEMENT, INC.

BD
CRD#: 26580
NEW YORK, NY
Past

September 29, 2014 - September 28, 2015

WALTON SECURITIES, INC.

BD
CRD#: 143763
SCOTTSDALE, AZ
Past

July 10, 2014 - September 26, 2014

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
PHOENIX, AZ

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
(6/14/2024)
RR
California
(6/16/2025)
RR
Nevada
(6/18/2024)
RR
New Mexico
(6/18/2024)
RR
New York
(6/16/2025)
RR
North Carolina
(6/13/2025)
RR
Oklahoma
(6/18/2024)
RR
Texas
(6/18/2024)
RR
Utah
(6/16/2025)
RR
Virginia
(6/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/4/2014
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 7
Date: 7/10/2014
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)
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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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