Owen J. Jones
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.
Owen John Jones was a registered financial professional .
Owen is a previously registered financial professional and started their career in finance in 1998. Owen had worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 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
July 2, 2019 - March 18, 2022
COMPASS POINT RESEARCH & TRADING, LLC
April 19, 2013 - October 10, 2018
KLR GROUP, LLC
October 2, 2012 - May 9, 2013
HEIGHT CAPITAL MARKETS
August 21, 2012 - September 28, 2012
BURNHAM SECURITIES INC.
October 29, 2008 - June 26, 2012
PRITCHARD CAPITAL PARTNERS, LLC
May 10, 2007 - November 4, 2008
LEHMAN BROTHERS INC.
July 23, 1998 - May 3, 2006
COMMERZ MARKETS LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 10/14/2010
Limited Representative-Equity Trader ExamCurrent 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.
