Jill L. Tricarico
Professional summary
Jill Lauren Tricarico, who also goes by Jill Lauren Kalhofer, Jill Kalhofer, Yavner Jill Kalhofer, Jill Tricarico, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in New York, New York.
Jill is registered as a RR (Registered Representative) and started their career in finance in 1989. Jill has worked at 18 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jill Lauren Tricarico's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2018 - Present
COMPASS POINT RESEARCH & TRADING, LLC
Office #1: 144 E. 44th St. Suite 702, New York, NY 10017January 10, 2018 - November 16, 2018
LADENBURG THALMANN & CO. INC.
January 12, 2016 - January 5, 2018
B. RILEY SECURITIES, INC.
April 22, 2013 - January 11, 2016
BREAN CAPITAL, LLC
January 24, 2012 - February 12, 2013
IMPERIAL CAPITAL, LLC
January 21, 2011 - January 11, 2012
WJB CAPITAL GROUP, INC.
October 1, 2008 - January 3, 2011
MORGAN JOSEPH TRIARTISAN LLC
May 11, 2007 - August 19, 2008
CRT CAPITAL GROUP LLC
October 29, 2003 - April 24, 2007
SUSQUEHANNA FINANCIAL GROUP, LLLP
March 4, 2003 - October 20, 2003
LEERINK PARTNERS LLC
January 8, 2002 - December 16, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
May 1, 2001 - September 27, 2001
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
September 3, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
January 27, 1998 - July 5, 2000
MORGAN KEEGAN & COMPANY, LLC
March 12, 1996 - February 11, 1998
JANNEY MONTGOMERY SCOTT LLC
November 1, 1994 - February 26, 1996
ALEX. BROWN & SONS INCORPORATED
July 30, 1993 - November 2, 1994
KIDDER, PEABODY & CO. INCORPORATED
May 23, 1989 - July 28, 1993
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/13/2023)
(5/2/2019)
(11/19/2018)
(12/13/2023)
(11/19/2018)
(11/19/2018)
(5/29/2020)
(11/19/2018)
(11/19/2018)
(11/19/2018)
Exams
FINRA
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
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