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Anthony Tu

Great Point Capital LLC

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About Anthony Tu

Anthony Tu is a financial professional with over 20 years of experience in the industry. Anthony is currently registered with Great Point Capital LLC, a firm that is not currently registered with the Securities and Exchange Commission. Anthony's previous experience includes roles at QUASAR TRADING, LLC, T3 TRADING GROUP, LLC, WTS PROPRIETARY TRADING GROUP LLC, OCEAN VIEW CAPITAL, LLC, HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C., and CARLIN EQUITIES CORP. Anthony holds multiple securities licenses including Series 3, 7, 24, 55, 57, and 63. Anthony is also a registered Principal with FINRA.

Firm Information

Anthony Tu is currently registered with Great Point Capital LLC. Great Point Capital LLC is a Limited Liability Company that was formed on August 17, 2000. The firm is registered to do business in all 50 states, as well as the District of Columbia. They have one SEC registration and have been the subject of 11 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

83

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Anthony Tu’s Registration & Firm History

IL

10/03/2017 - Present

Great Point Capital LLC (CHICAGO IL)

PR

04/18/2016 - 09/27/2017

QUASAR TRADING, LLC (SAN JUAN PR)

NY

11/07/2014 - 04/07/2016

T3 TRADING GROUP, LLC (NEW YORK NY)

NY

10/19/2011 - 11/07/2014

WTS PROPRIETARY TRADING GROUP LLC (NEW YORK NY)

CA

04/27/2011 - 10/13/2011

OCEAN VIEW CAPITAL, LLC (RANCHO SANTA FE CA)

NJ

04/14/2004 - 08/27/2009

HOLD BROTHERS ON-LINE INVESTMENT SERVICES L.L.C. (FORT LEE NJ)

NY

07/15/2002 - 03/25/2004

CARLIN EQUITIES CORP. (NEW YORK NY)

NY

07/10/1997 - 11/06/1998

WORLDCO, L.L.C. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/20/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/09/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/2002

Series 3 - National Commodity Futures Examination

BC

Issued 11/17/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/09/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

Disclosures

There are no public disclosures for Anthony Tu.
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