Thomas M. Healy

COMPASS POINT RESEARCH & TRADING

New York, NY 10017

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CRD#: 2729562

Professional summary

Thomas Martin Healy, who also goes by Thomas Martin Healy, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Martin Healy

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Martin Healy'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

December 1, 2017 - Present

COMPASS POINT RESEARCH & TRADING, LLC

Office #1: 144 E. 44th St. Suite 702, New York, NY 10017

CRD#: 126258

New York, NY

Past

August 3, 2016 - July 28, 2017

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

NEW YORK, NY

Past

June 5, 2013 - June 6, 2016

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

NEW YORK, NY

Past

March 26, 2010 - May 7, 2013

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

NEW YORK, NY

Past

July 10, 2009 - February 22, 2010

PALI CAPITAL, INC.

CRD#: 117783

NEW YORK, NY

Past

August 11, 2006 - May 4, 2009

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

April 30, 2001 - July 28, 2006

B. RILEY SECURITIES, INC.

CRD#: 25027

NEW YORK, NY

Past

September 13, 1999 - April 17, 2001

TRADE.COM ONLINE SECURITIES, INC.

CRD#: 36189

NEW YORK, NY

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

Connecticut
(12/1/2017)

Florida
(12/1/2017)

Illinois
(12/13/2023)

Massachusetts
(12/1/2017)

New Jersey
(12/1/2017)

New York
(12/1/2017)

Texas
(3/16/2021)

Exams

State Security Law Exam

Series 63

Date: 12/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/13/2004

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

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.

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Advisor Monitoring

Firm Stability Insights

Thomas M. Healy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Martin Healy's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

CITIZENS JMP SECURITIES, LLC

SUSQUEHANNA FINANCIAL GROUP, LLLP

PALI CAPITAL, INC.

UBS SECURITIES LLC

B. RILEY SECURITIES, INC.

TRADE.COM ONLINE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/1999

SIE

Date: 10/1/2018

Series 7

Date: 9/9/1999

Series 24

Date: 1/13/2004

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

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