Thomas D. Pitcher

COMPASS POINT RESEARCH & TRADING

Mount Pleasant, SC 29466

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CRD#: 4892262

Professional summary

Thomas Daniel Pitcher, who also goes by Tom Pitcher, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Mount Pleasant, South Carolina.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Pitcher

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 Daniel Pitcher'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

November 30, 2016 - Present

COMPASS POINT RESEARCH & TRADING, LLC

Office #1: 3015 Dunes West Boulevard Suite 502, Unit 512, Mount Pleasant, SC 29466

CRD#: 126258

Mount Pleasant, SC

Past

September 14, 2012 - November 21, 2016

HEIGHT ANALYTICS, LLC

RIA

CRD#: 149162

WASHINGTON, DC

Past

May 3, 2010 - November 21, 2016

HEIGHT CAPITAL MARKETS

CRD#: 150659

WASHINGTON, DC

Past

August 17, 2009 - May 26, 2010

IRC SECURITIES LLC

CRD#: 150022

WASHINGTON, DC

Past

September 6, 2006 - August 7, 2009

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

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

California
(12/13/2023)

District of Columbia
(11/30/2016)

Illinois
(5/9/2017)

Maryland
(5/9/2017)

Massachusetts
(11/30/2016)

New York
(11/30/2016)

Pennsylvania
(5/9/2017)

South Carolina
(8/12/2020)

Texas
(7/25/2017)

Wyoming
(5/22/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/9/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/20/2006

Uniform Securities Agent 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: 9/5/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/2/2021

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 D. Pitcher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Daniel Pitcher's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEIGHT ANALYTICS, LLC

HEIGHT CAPITAL MARKETS

IRC SECURITIES LLC

B. RILEY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2012

Series 63

Date: 9/20/2006

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2006

Series 24

Date: 2/2/2021

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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