Scott E. Dreyer
Professional summary
Scott Eric Dreyer is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Eric Dreyer's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2007 - Present
COMPASS POINT RESEARCH & TRADING, LLC
Office #1: 1055 Thomas Jefferson St., Nw, Suite 303, Washington, DC 20007January 23, 1992 - May 24, 2005
B. RILEY SECURITIES, INC.
July 11, 1983 - January 3, 1992
JOHNSTON, LEMON & CO. INCORPORATED
July 26, 1982 - March 23, 1983
FITZGERALD, DEARMAN & ROBERTS, INC.
October 23, 1980 - July 29, 1982
THOMSON MCKINNON SECURITIES 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
(10/19/2009)
(12/7/2007)
(4/23/2008)
(1/7/2008)
(1/18/2008)
(10/24/2007)
(5/20/2008)
(1/10/2008)
(1/2/2008)
(1/15/2008)
(5/5/2008)
(12/6/2007)
(11/19/2009)
(1/31/2008)
(12/11/2007)
(1/23/2008)
(1/9/2008)
(2/26/2008)
(2/14/2008)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 9/27/2007
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
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.
