CRD #114203 · FINRA BrokerCheck + SEC IAPD

Great Point Capital LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Great Point Capital LLC ranks #519 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #21 of 200 on the same disclosure sort used on the state browse page. Great Point Capital LLC carries 13 BrokerCheck disclosures across 4 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
4
branch offices
13
disclosures
#519 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 114203 Great Point Capital LLC

Great Point Capital LLC · Grade C · 13 disc · 3.25/office · Small firm

  • CRD 114203
  • GRADE C
  • DISC 13
  • REG 13
  • ARB 0
  • CIV 0
  • BRANCH 4
  • PER-OFF 3.25
  • RANK #519 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: THE Vertical Group (3.25 disc/office)

THE Vertical Group3.25Belvedere Trading LLC3.22Spartan Capital Securit…3.20Great Point Capital… (this)3.25
Disclosures per office among small firm peers (lower is cleaner)

Great Point Capital LLC ranks #519 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.25 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

4 offices

FINRA: Small firm

Total disclosures

13 events

On FINRA BrokerCheck

Regulatory events

13 actions

100% of all disclosures

Disclosures per office

3.25 per office

13 ÷ 4 offices

Great Point Capital LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

3 a cleaner per-office record than 3% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). This entry sits in this band. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 13
Arbitrations 0
Civil Events 0
Total 13

Counts for Great Point Capital LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 13 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Chicago, IL
CRD Number
114203

Regulator-heavy mix

Great Point Capital LLC in the heavier-disclosure third

Great Point Capital LLC carries 13 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#519 of 20,055). Regulator-initiated events are 100% of the book (13 regulatory / 0 arbitration / 0 civil).

100% of Great Point Capital LLC's 13 disclosures are regulator-initiated (13 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Great Point Capital LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Illinois cohort · 2.55× state average

Great Point Capital LLC sits above the Illinois disclosure average

Great Point Capital LLC reports 13 BrokerCheck disclosures, 2.55× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.

In Illinois, 99 firms carry Grade A and 8 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Illinois state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Great Point Capital LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Great Point Capital LLC ranks #519 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #21 of 200 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Great Point Capital LLC?
A grade of C reflects Great Point Capital LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 13 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Great Point Capital LLC have?
Great Point Capital LLC has 13 total FINRA disclosures, including 13 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Great Point Capital LLC?
Great Point Capital LLC operates 4 branch offices and is classified by FINRA as a small firm, registered in IL (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Great Point Capital LLC's disciplinary record?
You can verify Great Point Capital LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 114203. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Great Point Capital LLC's 13 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Great Point Capital LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Great Point Capital LLC carries 13 disclosures across 4 branch offices (about 3.25 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Great Point Capital LLC, both outside IL so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • THE Vertical Group (NJ) - 3.25 disclosures/office, nearest small firm peer to Great Point Capital LLC's 3.25
  • Belvedere Trading LLC (IL) - 3.22 disclosures/office, nearest small firm peer to Great Point Capital LLC's 3.25
  • Spartan Capital Securities, LLC (NY) - 3.20 disclosures/office, nearest small firm peer to Great Point Capital LLC's 3.25
  • Firms in IL - state roster that includes Great Point Capital LLC's registration home.
  • Red Flags in Advisor Records - How to read Great Point Capital LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 13 disclosures behind Great Point Capital LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Great Point Capital LLC.
  • Compare firms - put Great Point Capital LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.