Branch offices
4 offices
FINRA: Small firm
CRD #126258 · FINRA BrokerCheck + SEC IAPD
Compass Point Research & Trading, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Compass Point Research & Trading, LLC ranks #8,082 of 20,055 by disclosure count (most disclosures first). Among firms registered in DC, it ranks #8 of 17 on the same disclosure sort used on the state browse page. Compass Point Research & Trading, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 4 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 4
- branch offices
- 0
- disclosures
- #8,082 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 126258 Compass Point Research & Trading, LLC
Compass Point Research & Trading, LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 126258
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 4
- PER-OFF 0.00
- RANK #8,082 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Compass Point Research & Trading, LLC ranks #8,082 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 4 offices
Clean disclosure surface
Compass Point Research & Trading, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 4 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Washington, DC
- CRD Number
- 126258
Clean BrokerCheck surface
Compass Point Research & Trading, LLC's clean BrokerCheck surface
Compass Point Research & Trading, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 4 branch offices (Grade A).
Compass Point Research & Trading, LLC shows zero reportable disclosures across 4 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Compass Point Research & Trading, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
District of Columbia cohort · 0.00× state average
Compass Point Research & Trading, LLC sits below the District of Columbia disclosure average
Compass Point Research & Trading, LLC reports 0 BrokerCheck disclosures, 0.00× the District of Columbia average of 0.6, lighter than most of the 17 graded firms filed there.
In District of Columbia, 12 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the District of Columbia state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Compass Point Research & Trading, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Compass Point Research & Trading, LLC ranks #8,082 of 20,055 by disclosure count (most disclosures first). Among firms registered in DC, it ranks #8 of 17 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for Compass Point Research & Trading, LLC?
A grade of A means Compass Point Research & Trading, LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Compass Point Research & Trading, LLC have?
Compass Point Research & Trading, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Compass Point Research & Trading, LLC?
Compass Point Research & Trading, LLC operates 4 branch offices and is classified by FINRA as a small firm, registered in DC (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Compass Point Research & Trading, LLC's disciplinary record?
You can verify Compass Point Research & Trading, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 126258. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Compass Point Research & Trading, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Compass Point Research & Trading, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Compass Point Research & Trading, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Compass Point Research & Trading, LLC's 0.00
- Firms in DC - state roster that includes Compass Point Research & Trading, LLC's registration home.
- How to Vet a Financial Advisor - Use Compass Point Research & Trading, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Compass Point Research & Trading, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Compass Point Research & Trading, LLC.
- Compare firms - put Compass Point Research & Trading, LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.