Casey J. Alexander
Professional summary
Casey Jay Alexander is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.
Casey is registered as a RR (Registered Representative) and started their career in finance in 1981. Casey has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86, Series 5, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Casey Jay Alexander's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 21, 2016 - Present
COMPASS POINT RESEARCH & TRADING, LLC
Office #1: 1055 Thomas Jefferson St., Nw, Suite 303, Washington, DC 20007October 12, 2015 - May 31, 2016
LADENBURG THALMANN & CO. INC.
March 6, 1996 - October 14, 2015
GILFORD SECURITIES INCORPORATED
February 12, 1988 - March 5, 1996
UBS FINANCIAL SERVICES INC.
September 12, 1983 - February 27, 1988
PRUDENTIAL EQUITY GROUP, LLC
December 24, 1981 - November 1, 1983
E. F. HUTTON & COMPANY INC
February 23, 1981 - December 3, 1981
FORESTERS FINANCIAL 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
(2/25/2019)
Exams
Series 5
Date: 12/17/1982
Interest Rate Options ExaminationSeries 8
Date: 6/23/1989
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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
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