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TW

Thomas S. Wall

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6677819
TW

Professional summary

Thomas Stephen Wall, who also goes by Thomas Stephen Wall, Thomas Wall, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2018. Thomas has worked at 5 firms and has passed the Series 63, Series 22TO, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Stephen Wall | Thomas Wall

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 Thomas Stephen Wall'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

January 8, 2026 - 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

July 18, 2025 - December 31, 2025

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL
Past

June 3, 2024 - July 11, 2025

RM SECURITIES, LLC

BD
CRD#: 323671
ROCHESTER, NY
Past

January 23, 2022 - April 2, 2024

FNEX CAPITAL, LLC

BD
CRD#: 166316
Torrance, CA
Past

April 12, 2021 - January 14, 2022

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
Torrance, CA
Past

August 30, 2018 - December 1, 2020

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
WOODLAND HILLS, CA

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
(1/8/2026)
RR
Florida
(1/8/2026)
RR
Illinois
(1/8/2026)
RR
New Jersey
(1/8/2026)
RR
Utah
(1/8/2026)
RR
Wisconsin
(1/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/26/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/9/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/30/2018
Investment Company Products/Variable Contracts 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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