Matthew V. Rogers

COMPASS POINT RESEARCH & TRADING

Washington, DC 20007

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CRD#: 2363772

Professional summary

Matthew Van Zandt Rogers, who also goes by Matthew Vanzandt Rogers, Matthew Van Zandt Rogers, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1996. Matthew has worked at 7 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew Vanzandt Rogers | Matthew Van Zandt Rogers

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.Height Analytics, LLC; Investment Related;1775 Pennsylvania Avenue NW, 11FL, Washington, DC 20006;Institutional sales of research services; VP Sales Representative;3/2017;60-80 hours/month; 3.5 hours during securities hours. Acting as a sales person for firm's services and products to institutional customers. 2. Height Securities, LLC; Investment Related;1775 Pennsylvania Avenue NW, 11FL, Washington, DC 20006;Institutional sales of brokerage services; VP Sales Representative;3/2017;60-80 hours/month; 3.5 hours during securities hours. Acting as a sales person for firm's services and products to institutional customers.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Van Zandt Rogers's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 9, 2023 - Present

COMPASS POINT RESEARCH & TRADING, LLC

Office #1: 1055 Thomas Jefferson St., Nw, Suite 303, Washington, DC 20007

CRD#: 126258

Washington, DC

Past

December 19, 2017 - May 15, 2023

HEIGHT ANALYTICS, LLC

RIA

CRD#: 149162

WASHINGTON, DC

Past

July 25, 2017 - May 15, 2023

HEIGHT CAPITAL MARKETS

CRD#: 150659

WASHINGTON, DC

Past

January 21, 2003 - October 18, 2016

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

Past

April 30, 2001 - October 24, 2002

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

February 5, 2001 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

February 1, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

July 17, 1996 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/9/2023)

Connecticut
(5/9/2023)

District of Columbia
(5/9/2023)

Florida
(5/9/2023)

Illinois
(5/9/2023)

Massachusetts
(5/9/2023)

New York
(5/9/2023)

Ohio
(12/13/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/18/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/2/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/16/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/16/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/2006

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

COMPASS POINT RESEARCH & TRADING, LLC

COMPASS POINT | COMPASS POINT RESEARCH & TRADING, LLC

CRD#: 126258 / SEC#: , 8-65866

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007

Mailing Address

1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007

Phone number

(202) 540-7300

Established

Delaware since 01/25/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (33 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Matthew V. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Van Zandt Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEIGHT ANALYTICS, LLC

HEIGHT CAPITAL MARKETS

B. RILEY SECURITIES, INC.

J.P. MORGAN SECURITIES INC.

JPMSI

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2017

Series 63

Date: 3/2/2000

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 7/16/2001

Series 7

Date: 7/16/1996

Series 24

Date: 12/11/2006

FINRA

Nasdaq Stock Market

Current Firm

COMPASS POINT RESEARCH & TRADING, LLC

Contact information

FINRA licenses (33 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

COMPASS POINT RESEARCH & TRADING, LLC

TRUST BUT VERIFY

Contact information

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