Ali A. Faruqi
Professional summary
Ali Ahmed Faruqi is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.
Ali is registered as a RR (Registered Representative) and started their career in finance in 2025. Ali has worked at 1 firm and has passed the Series 63, Series 86, Series 87 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ali Ahmed Faruqi's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2025 - Present
COMPASS POINT RESEARCH & TRADING, LLC
Office #1: 1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/24/2025)
Exams
FINRA
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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