Saleh J. Kumin
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.
Saleh Jonathan Kumin, who also goes by Jon Kumin, Jonathan Kumin, was a registered financial professional .
Saleh is a previously registered financial professional and started their career in finance in 2007. Saleh had worked at 7 firms and has passed the Series 63, SIE and Series 7 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, 2015 - November 27, 2015
COMPASS POINT RESEARCH & TRADING, LLC
August 6, 2012 - July 29, 2014
WELLS FARGO SECURITIES, LLC
August 30, 2011 - August 8, 2012
WELLS FARGO PRIME SERVICES, LLC
May 12, 2010 - June 10, 2011
PULSE TRADING, INC.
January 22, 2010 - April 28, 2010
MORGAN STANLEY
May 11, 2009 - December 10, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
June 14, 2007 - January 4, 2008
DEMATTEO RESEARCH 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
Current 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.
