Nicholas C. Welsh

COMPASS POINT RESEARCH & TRADING

Washington, DC 20007

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CRD#: 7374462

Professional summary

Nicholas Christopher Welsh, who also goes by Nicholas C Welsh, Nicholas Welsh, Nick C Welsh, Nick Welsh, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas C Welsh | Nicholas Welsh | Nick C Welsh | Nick Welsh

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 Nicholas Christopher Welsh'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

May 14, 2025 - Present

COMPASS POINT RESEARCH & TRADING, LLC

Office #1: 1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007

CRD#: 126258

Washington, DC

Past

October 21, 2021 - April 14, 2025

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Arlington, VA

Past

September 13, 2021 - April 14, 2025

B. RILEY SECURITIES, INC.

CRD#: 25027

Arlington, VA

Past

June 28, 2021 - August 27, 2021

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Indianapolis, IN

Past

June 4, 2021 - August 27, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Indianapolis, IN

State Registrations and Notice Filings

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

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

Colorado
(5/15/2025)

Illinois
(5/14/2025)

Massachusetts
(5/14/2025)

New York
(5/14/2025)

North Carolina
(5/15/2025)

Pennsylvania
(5/15/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/28/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/4/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/20/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

COMPASS POINT RESEARCH & TRADING, LLC

COMPASS POINT | COMPASS POINT RESEARCH & TRADING, LLC

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

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)

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
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.

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Nicholas C. Welsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Christopher Welsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPASS POINT RESEARCH & TRADING, LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/28/2021

Series 7TO

Date: 6/4/2021

SIE

Date: 4/20/2021

FINRA

Nasdaq Stock Market

Current Firm

COMPASS POINT RESEARCH & TRADING, LLC

Contact information

FINRA licenses (33 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

COMPASS POINT RESEARCH & TRADING, LLC

TRUST BUT VERIFY

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