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SA

Steven A. Arnold

GREAT POINT CAPITAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 710263
SA

Professional summary

Steven Alan Arnold, who also goes by Steven A Arnold, is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1980. Steven has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven A Arnold

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 Steven Alan Arnold'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

July 5, 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

April 16, 2024 - June 26, 2024

MODERN PRIVATE EQUITY PARTNERS, LLC

BD
CRD#: 326206
SPENCER, TN
Past

December 4, 2017 - April 3, 2024

EMERSON EQUITY LLC

BD
CRD#: 130032
Fort Myers, FL
Past

March 20, 2015 - August 29, 2017

LIGHTHOUSE CAPITAL GROUP, LLC

BD
CRD#: 169135
PASADENA, CA
Past

March 24, 2014 - March 23, 2015

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
Fort Myers, FL
Past

April 29, 2011 - December 6, 2011

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
FT. MYERS, FL
Past

May 8, 2003 - April 28, 2011

OMNI BROKERAGE, INC.

BD
CRD#: 16878
FORT MEYERS, FL
Past

August 7, 2001 - March 31, 2003

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

June 3, 1999 - August 13, 2001

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

January 8, 1993 - June 14, 1999

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

November 8, 1990 - January 11, 1993

PLANNED INVESTMENTS INC.

BD
CRD#: 5066
ATLANTA, GA
Past

January 4, 1986 - November 26, 1990

CARNEGIE SECURITIES CORPORATION

BD
CRD#: 14871
Past

April 3, 1985 - January 18, 1986

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

July 11, 1984 - April 15, 1985

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

June 26, 1980 - June 11, 1984

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471

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
(7/8/2024)
RR
Florida
(7/15/2024)
RR
New York
(7/16/2024)
RR
Texas
(7/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/4/2014
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: 6/21/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/1988
General Securities Principal 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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