Kenneth G. Billingsley

COMPASS POINT RESEARCH & TRADING

Washington, DC 20007

Some features on this profile are disabled

CRD#: 4385537

Professional summary

Kenneth G Billingsley is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2001. Kenneth has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 86, Series 87, Series 7 and Series 24 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 Kenneth G Billingsley'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

February 12, 2013 - Present

COMPASS POINT RESEARCH & TRADING, LLC

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

CRD#: 126258

Washington, DC

Past

July 22, 2010 - February 1, 2013

BGB SECURITIES, INC.

CRD#: 36716

MCLEAN, VA

Past

June 29, 2007 - December 23, 2009

SIGNAL HILL CAPITAL GROUP LLC

CRD#: 122782

BALTIMORE, MD

Past

June 17, 2004 - July 3, 2007

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

May 11, 2001 - June 3, 2004

B. RILEY SECURITIES, INC.

CRD#: 25027

LOS ANGELES, CA

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
(2/12/2013)

Maryland
(12/13/2023)

New York
(2/12/2013)

Exams

State Security Law Exam

Series 63

Date: 8/3/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 1/12/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 11/8/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 5/10/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/21/2010

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)

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

Kenneth G. Billingsley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth G Billingsley's CRS (Customer Relationship Summary).

Certified licenses

Experience

BGB SECURITIES, INC.

SIGNAL HILL CAPITAL GROUP LLC

SCOTT & STRINGFELLOW, LLC

B. RILEY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 86

Date: 1/12/2005

Series 87

Date: 11/8/2004

Series 7

Date: 5/10/2001

Series 24

Date: 10/21/2010

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

Similar Advisors