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David Patrick Rochester

Compass Point Research & Trading, LLC

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About David Patrick Rochester

David Rochester is a financial advisor with Compass Point Research & Trading, LLC. David Rochester has 26 years of experience in the financial services industry. David Rochester is registered in the District of Columbia, New York, and Virginia. David Rochester holds the Series 4, 7, 24, 63, 65, 86, and 87 licenses and the SIE exam.

Firm Information

David Rochester is currently registered with Compass Point Research & Trading, LLC. Compass Point Research & Trading, LLC is a Limited Liability Company formed in 2002. The firm is registered with the SEC and in 33 states.

Not reported

Assets Under Management

Not reported

Total Clients

36

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Rochester’s Registration & Firm History

DC

08/29/2019 - Present

Compass Point Research & Trading, LLC (WASHINGTON DC)

NY

06/08/2011 - 09/05/2019

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

09/13/2010 - 06/10/2011

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

VA

11/02/2004 - 08/31/2010

FBR CAPITAL MARKETS & CO. (ARLINGTON VA)

MN

06/16/2004 - 10/27/2004

PIPER JAFFRAY & CO. (MINNEAPOLIS MN)

NY

07/22/2003 - 06/14/2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

06/21/2002 - 07/16/2003

COHEN & STEERS SECURITIES, LLC (NEW YORK NY)

MD

08/08/1997 - 06/12/2002

CAPITAL RESOURCES, INC. (ROCKVILLE MD)

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Licenses & Designations

IA

Issued 12/23/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/28/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/08/1998

Series 24 - General Securities Principal Examination

BC

Issued 08/28/1997

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/15/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/06/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 08/07/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Patrick Rochester.
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