Brent H. Hodges
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.
Brent Harold Hodges was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1994. Brent had worked at 2 firms and has passed the Series 63, SIE, Series 7 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
May 23, 2017 - November 19, 2020
COMPASS POINT RESEARCH & TRADING, LLC
April 21, 1994 - May 2, 2017
B. RILEY SECURITIES, INC.
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
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