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RS

Robert M. Simone

COMPASS POINT RESEARCH & TRADING
Washington, DC 20007
Some features on this profile are disabled
CRD#: 5736138
RS

Professional summary

Robert Matthew Simone, who also goes by Robert M Simone, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2009. Robert has worked at 6 firms and has passed the Series 63, Series 87, Series 86, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert M Simone

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 Robert Matthew Simone'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 19, 2026 - Present

COMPASS POINT RESEARCH & TRADING, LLC

Office #1: 1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007
BD
CRD#: 126258
Washington, DC
Past

March 2, 2021 - November 6, 2024

HEDGEYE RISK MANAGEMENT, LLC

RIA
CRD#: 147272
STAMFORD, CT
Past

April 18, 2016 - September 26, 2018

EVERCORE GROUP L.L.C.

BD
CRD#: 42405
New York, NY
Past

September 21, 2012 - September 9, 2015

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
NEW YORK, NY
Past

March 25, 2011 - September 7, 2012

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
NEW YORK, NY
Past

December 16, 2009 - March 18, 2011

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Connecticut
(2/19/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2026
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 2/19/2026
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 2/7/2026
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
SIE
Date: 1/22/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/8/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CP
COMPASS POINT RESEARCH & TRADING, LLC
COMPASS POINT | COMPASS POINT RESEARCH & TRADING, LLC

CRD#: 126258 / SEC#: , 8-65866

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOONER HOLDINGS, LLCHOLDING COMPANY
DOERR, MANDY MULLERFINANCIAL AND OPERATIONS PRINCIPAL (FINOP)4988605
DREYER, SCOTT ERICEXECUTIVE CHAIRMAN717434
GRANT, KEVIN STEWARTCHIEF COMPLIANCE OFFICER6383394
HAYES, BURKE FROST JRCEO3211858
NEALON, CHRISTOPHER ALLENCHIEF OPERATING OFFICER2447167
NICOLL, ROBERT ANDREWMEMBER2826685
SHEEDY, THOMAS WILLIAMMEMBER1777044

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.

Company Information

COMPASS POINT RESEARCH & TRADING, LLC

CRD#: 126258Washington, DC 20007

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