Robert K. Jermain
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Keane Jermain, who also goes by Bob Jermain, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2017 - November 18, 2019
COMPASS POINT RESEARCH & TRADING, LLC
September 16, 2014 - February 1, 2017
RAFFERTY CAPITAL MARKETS, LLC
August 8, 2011 - September 26, 2014
BURKE & QUICK PARTNERS LLC
January 23, 2009 - August 8, 2011
RAFFERTY CAPITAL MARKETS, LLC
September 22, 2008 - February 2, 2009
COMPASS POINT RESEARCH & TRADING, LLC
August 22, 2003 - May 10, 2007
COMPASS POINT RESEARCH & TRADING, LLC
January 5, 1987 - May 24, 1988
ALEX. BROWN & SONS INCORPORATED
July 6, 1984 - February 10, 1987
LAZARD FRERES & CO. LLC
November 24, 1982 - March 23, 1984
FOLGER NOLAN FLEMING DOUGLAS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMPASS POINT RESEARCH & TRADING, LLC
CRD#: 126258 / SEC#: , 8-65866
Contact information
FINRA licenses (33 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOONER HOLDINGS, LLC | HOLDING COMPANY | |
| DOERR, MANDY MULLER | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 4988605 |
| DREYER, SCOTT ERIC | EXECUTIVE CHAIRMAN | 717434 |
| GRANT, KEVIN STEWART | CHIEF COMPLIANCE OFFICER | 6383394 |
| HAYES, BURKE FROST JR | CEO | 3211858 |
| NEALON, CHRISTOPHER ALLEN | CHIEF OPERATING OFFICER | 2447167 |
| NICOLL, ROBERT ANDREW | MEMBER | 2826685 |
| SHEEDY, THOMAS WILLIAM | MEMBER | 1777044 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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