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William Herbert Gooding

Great Point Capital LLC

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About William Herbert Gooding

William Herbert Gooding is a financial advisor who has been in the industry since 1994. William is currently registered with Great Point Capital LLC in Austin, TX, and has been with the firm since 2017. Before that, he was with Great Point Capital LLC in Chicago, IL. William is also registered with the state of Michigan. William has a Series 7, Series 24, Series 55, Series 63, SIE, and Series 57TO.

Firm Information

William Gooding 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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William Gooding’s Registration & Firm History

TX

12/21/2017 - Present

Great Point Capital LLC (AUSTIN TX)

IL

04/16/2013 - 12/23/2015

GREAT POINT CAPITAL LLC (CHICAGO IL)

NV

07/22/2010 - 10/31/2012

GREAT POINT CAPITAL LLC (LAS VEGAS NV)

NV

04/17/2006 - 07/26/2010

ASSENT LLC (LAS VEGAS NV)

CT

01/30/2004 - 12/21/2005

FUTURETRADE SECURITIES, LLC (GREENWICH CT)

TX

12/24/1998 - 03/26/2002

PROTRADER SECURITIES CORPORATION (AUSTIN TX)

TX

09/25/1997 - 11/17/1998

BLOCK TRADING INC. (HOUSTON TX)

NY

09/30/1998 - 11/12/1998

MOMENTUM SECURITIES, INC. (NEW YORK NY)

TX

02/09/1996 - 03/12/1997

BLOCK TRADING INC. (HOUSTON TX)

NY

11/27/1995 - 12/20/1995

RAS SECURITIES CORP. (NEW YORK NY)

MI

11/02/1994 - 02/22/1995

OLDE DISCOUNT CORPORATION (DETROIT MI)

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Licenses & Designations

BC

Issued 11/23/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/15/2008

Series 4 - Registered Options Principal Examination

BC

Issued 01/27/1998

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 09/29/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/01/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

Disclosures

There is public disclosure for William Herbert Gooding. Review regulatory record here.
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