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Timothy George Marshall

Great Point Capital LLC

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About Timothy George Marshall

Timothy George Marshall is a financial advisor with over 15 years of experience in the industry. Timothy is currently registered with Great Point Capital LLC and holds Series 3, 7, 22, and 63 licenses. Timothy has held previous positions at several firms, including PRIME, Lighthouse Capital Group, LLC, Niagara International Capital Limited, McDermott Investment Services, LLC, DFPG Investments, Inc., Omni Brokerage, Inc., United Equity Securities, LLC, and Direct Capital Securities, Inc.

Firm Information

Timothy Marshall 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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Timothy Marshall’s Registration & Firm History

IL

08/23/2019 - Present

Great Point Capital LLC (CHICAGO IL)

NY

09/27/2018 - 08/26/2019

PRIMEX (NEW YORK NY)

CA

06/19/2017 - 11/29/2017

LIGHTHOUSE CAPITAL GROUP, LLC (PASADENA CA)

CA

03/13/2017 - 04/09/2017

NIAGARA INTERNATIONAL CAPITAL LIMITED (SANTA MONICA CA)

CA

06/05/2015 - 03/17/2017

MCDERMOTT INVESTMENT SERVICES, LLC (SANTA MONICA CA)

UT

01/16/2015 - 06/09/2015

DFPG INVESTMENTS, INC. (SANDY UT)

CA

06/28/2011 - 01/28/2015

MCDERMOTT INVESTMENT SERVICES, LLC (SANTA MONICA CA)

UT

09/02/2010 - 04/28/2011

OMNI BROKERAGE, INC. (SOUTH JORDAN UT)

TX

08/10/2010 - 08/16/2010

UNITED EQUITY SECURITIES, LLC (HUSTON TX)

TX

02/26/2010 - 08/09/2010

UNITED EQUITY SECURITIES, LLC (HUSTON TX)

TX

07/26/2005 - 02/08/2010

DIRECT CAPITAL SECURITIES, INC. (AUSTIN TX)

NA

03/20/1990 - 08/27/1991

DEAN WITTER REYNOLDS INC.

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Licenses & Designations

BC

Issued 06/20/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/14/2005

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 07/26/1990

Series 3 - National Commodity Futures Examination

BC

Issued 03/17/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Timothy George Marshall. Review regulatory record here.
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