David S. Gallagher
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.
David Stuart Gallagher was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2014. David had worked at 5 firms and has passed the Series 66, 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
May 15, 2023 - May 19, 2025
COMPASS POINT RESEARCH & TRADING, LLC
April 20, 2021 - June 2, 2023
ARCHSTONE CAPITAL, LLC
January 5, 2016 - May 13, 2019
B. RILEY SECURITIES, INC.
May 16, 2014 - January 6, 2016
T. ROWE PRICE ADVISORY SERVICES, INC.
March 19, 2014 - January 6, 2016
T. ROWE PRICE INVESTMENT SERVICES, INC.
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.
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