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SD

Scott Eric Dreyer

COMPASS POINT RESEARCH & TRADING

WASHINGTON, DC

·CRD# 717434·43 years experience

Professional Summary

Scott Eric Dreyer is a registered financial advisor currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia. Scott is registered as a RR (Registered Representative) and started their career in finance in 1980. Scott has worked at 5 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 62, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

43 years in the financial services industry

Current & Past Employments

COMPASS POINT RESEARCH & TRADING, LLC·CRD# 126258

BD

2300 N Street, Nw, Suite 450, Washington, DC 20037

October 16, 2007 - Present

B. RILEY SECURITIES, INC.·CRD# 25027

BD

Arlington, VA

January 23, 1992 - May 24, 2005

JOHNSTON, LEMON & CO. INCORPORATED·CRD# 473

BD

Washington, DC

July 11, 1983 - January 3, 1992

FITZGERALD, DEARMAN & ROBERTS, INC.·CRD# 317

BD

July 26, 1982 - March 23, 1983

THOMSON MCKINNON SECURITIES INC.·CRD# 829

BD

October 23, 1980 - July 29, 1982

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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)

Contact Information

Main Address

2300 N Street, Nw Suite 450, Washington, DC 20037

Mailing Address

2300 N Street, Nw Suite 450, Washington, DC 20037

Phone Number

(202) 540-7300

Established

Delaware since 01/25/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (33 States and Territories)

Registered to provide investment advisory services in 0 US 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

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(10/19/2009)

RR

California
(12/7/2007)

RR

Colorado
(4/23/2008)

RR

Connecticut
(1/7/2008)

RR

Delaware
(1/18/2008)

RR

District of Columbia
(10/24/2007)

RR

Florida
(5/20/2008)

RR

Illinois
(1/10/2008)

RR

Maryland
(1/2/2008)

RR

Massachusetts
(1/15/2008)

RR

Michigan
(5/5/2008)

RR

Minnesota
(12/6/2007)

RR

Nebraska
(11/19/2009)

RR

New Jersey
(1/31/2008)

RR

New York
(12/11/2007)

RR

North Carolina
(1/23/2008)

RR

Pennsylvania
(1/9/2008)

RR

Texas
(2/26/2008)

RR

Virginia
(2/14/2008)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2007About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Jan 2023

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 2007

Series 7 — General Securities Representative Examination

Passed Sep 2007About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Jul 2008About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Sep 2007About the Series 24 exam

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Scott Eric Dreyer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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