Robert A. Nicoll

COMPASS POINT RESEARCH & TRADING

Washington, DC 20007

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CRD#: 2826685

Professional summary

Robert Andrew Nicoll is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 3 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Robert Andrew Nicoll'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

September 1, 2009 - Present

COMPASS POINT RESEARCH & TRADING, LLC

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

CRD#: 126258

Washington, DC

Past

February 1, 2001 - September 29, 2009

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

Past

April 23, 1997 - February 14, 2001

CHEVY CHASE FINANCIAL SERVICES

CRD#: 14894

BETHESDA, MD

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

Arizona
(9/25/2009)

California
(6/16/2014)

Colorado
(12/13/2023)

District of Columbia
(11/22/2011)

Florida
(9/1/2009)

Kentucky
(8/8/2016)

Maryland
(9/1/2009)

Missouri
(10/1/2009)

New Jersey
(9/1/2009)

New York
(9/1/2009)

North Carolina
(9/4/2018)

Ohio
(9/13/2019)

Texas
(7/31/2012)

Virginia
(10/27/2011)

Wisconsin
(9/23/2009)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/22/1997

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/1997

General Securities Representative 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.

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Robert A. Nicoll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Andrew Nicoll's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPASS POINT RESEARCH & TRADING, LLC

B. RILEY SECURITIES, INC.

CHEVY CHASE FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/1997

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/22/1997

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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