Laura A. Brown
Professional summary
Laura Ann Brown, who also goes by Laura Brown, Laura A Lang, Laura Ann Lang, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.
Laura is registered as a RR (Registered Representative) and started their career in finance in 1993. Laura has worked at 4 firms and has passed the Series 63, Series 87, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Laura Ann Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 5, 2018 - Present
COMPASS POINT RESEARCH & TRADING, LLC
Office #1: 1055 Thomas Jefferson St., Nw, Suite 303, Washington, DC 20007April 11, 2017 - April 18, 2017
B. RILEY SECURITIES, INC.
September 5, 2003 - January 11, 2017
B. RILEY SECURITIES, INC.
September 26, 2000 - March 17, 2003
B. RILEY SECURITIES, INC.
July 21, 1999 - September 26, 2000
FBR INVESTMENT SERVICES, INC.
November 2, 1993 - July 14, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
(10/5/2018)
(10/5/2018)
(12/13/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
