Alfred H. Geary
Professional summary
Alfred H Geary, who also goes by Alfred H Geary, Alfred Harrison Geary II, Alfred Harrison Geary, Alfred Geary, Ted Geary, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.
Alfred is registered as a RR (Registered Representative) and started their career in finance in 1996. Alfred has worked at 5 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alfred H Geary's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2021 - Present
COMPASS POINT RESEARCH & TRADING, LLC
Office #1: 1055 Thomas Jefferson St., Nw, Suite 303, Washington, DC 20007July 1, 2020 - March 8, 2021
WELLS FARGO SECURITIES, LLC
April 15, 2019 - April 1, 2020
COWEN PRIME SERVICES LLC
September 1, 2000 - February 27, 2001
RUMSON CAPITAL, LLC
October 9, 1996 - August 4, 2000
LAZARD FRERES & CO. 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
(4/6/2021)
(12/12/2023)
(4/6/2021)
(4/6/2021)
Exams
Series 7TO
Date: 7/28/2020
General Securities Representative ExaminationSeries 57TO
Date: 4/15/2019
Securities Trader ExamSeries 55
Date: 4/4/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
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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