Edwin G. Groshans

COMPASS POINT RESEARCH & TRADING

Washington, DC 20007

Some features on this profile are disabled

CRD#: 4068779

Professional summary

Edwin George Groshans JR., who also goes by Edwin Groshans Jr., Ed Groshans, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.

Edwin is registered as a RR (Registered Representative) and started their career in finance in 2000. Edwin has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 86, Series 16 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Edwin Groshans Jr. | Ed Groshans

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.

1)UNITED METHODIST CHURCH OF FLORAL PARK, TRUSTREE & TREASURER, 2-3 HOURS SPEND DURING NON-SECURITIES HOURS. RESPONSIBLE FOR OVERSEEING ALL OF THE OPERATIONS OF THE CHRCH, MONITORS THE PERFORMANCE OF THE CHURCH'S MEMORIAL FUNDS. THESE FUNDS ARE ACTIVELY MANAGED BY AN INVESTMENT PROF. AT BANK OF AMERICA MERRILL LYNCH AND PASSIVELY MANAGED AT WELLS FARGO/WACHOVIA SECURITIES IN THE RUSSELL FAMILY OF FUNDS. 2)HEIGHT ANALYTICS, LLC;IS INVESTMENT RELATED;1775 PENNSYLVANIA AVENUE, NW,11TH FLOOR,WASHINGTON,DC 20006;INVESTMENT ADVISORY;MANAGING DIRECTOR;1/2010;112 HRS/MONTH;5 HRS DURING TRADING;PROVIDING RESEARCH SERVICES TO INSTITUTIONAL CLIENTS 3)HEIGHT SECURITIES,LLC;IS INVESTMENT RELATED;1775 PENNSYLVANIA AVENUE, NW,11TH FLOOR,WASHINGTON,DC 20006;BROKER DEALER;REGISTERED REPRESENTATIVE;5/2011;48 HRS/MONTH;2 HRS DURING TRADING;REGISTERED REPRESENTATIVE

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Edwin George Groshans JR.'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

August 9, 2022 - Present

COMPASS POINT RESEARCH & TRADING, LLC

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

CRD#: 126258

Washington, DC

Past

May 9, 2011 - July 19, 2022

HEIGHT CAPITAL MARKETS

CRD#: 150659

NEW YORK, NY

Past

December 13, 2010 - July 19, 2022

HEIGHT ANALYTICS, LLC

RIA

CRD#: 149162

Seaford, NY

Past

January 8, 2010 - May 28, 2010

IRC SECURITIES LLC

CRD#: 150022

NEW YORK, NY

Past

May 20, 2009 - January 26, 2010

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

August 3, 2004 - March 30, 2007

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

CRD#: 10485

NEW YORK, NY

Past

March 18, 2003 - July 2, 2004

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

July 19, 2001 - February 5, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 31, 2000 - December 8, 2000

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

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

District of Columbia
(8/11/2022)

New York
(8/18/2022)

Virginia
(12/14/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/10/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/11/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 12/29/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 12/28/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 16

Date: 12/23/2003

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 1/28/2000

General Securities Representative Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Raylonte Roach

EAGLE STRATEGIES LLC

IAR

BETHESDA, MD

Matthew Halverson

MORGAN STANLEY

IAR

Washington, DC

Erin Caines

EAGLE STRATEGIES LLC

IAR

DERWOOD, MD

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Edwin G. Groshans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Edwin George Groshans JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

HEIGHT CAPITAL MARKETS

HEIGHT ANALYTICS, LLC

IRC SECURITIES LLC

LADENBURG THALMANN & CO. INC.

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

MOORS & CABOT, INC.

PRUDENTIAL EQUITY GROUP, LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2010

Series 63

Date: 6/11/2009

SIE

Date: 10/1/2018

Series 87

Date: 12/29/2004

Series 86

Date: 12/28/2004

Series 16

Date: 12/23/2003

Series 7

Date: 1/28/2000

FINRA

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

Similar Advisors