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Matthew David Appleby

Great Point Capital LLC

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About Matthew David Appleby

Matthew David Appleby is a registered representative with Great Point Capital LLC. Matthew has passed the Series 63, Series 57TO, and SIE exams. Matthew is registered with the state of Texas.

Firm Information

Matthew Appleby 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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Matthew Appleby’s Registration & Firm History

TX

06/03/2021 - Present

Great Point Capital LLC (AUSTIN TX)

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Licenses & Designations

BC

Issued 06/02/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/02/2021

Series 57TO - Securities Trader Exam

BC

Issued 03/08/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

Disclosures

There are no public disclosures for Matthew David Appleby.
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