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Thomas Daniel Pitcher

Compass Point Research & Trading, LLC

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About Thomas Daniel Pitcher

Thomas Pitcher is a financial professional with over 16 years of experience in the financial services industry. Thomas is currently registered with Compass Point Research & Trading, LLC, and has held previous positions with HEIGHT SECURITIES, LLC, IRC SECURITIES LLC and FBR CAPITAL MARKETS & CO. Thomas is licensed to conduct business in multiple states, including California, District of Columbia, Illinois, Maryland, Massachusetts, New York, Pennsylvania, South Carolina, Texas and Wyoming. Thomas holds multiple industry licenses, including Series 7, Series 24, Series 63, Series 66, SIE and Series 79TO.

Firm Information

Thomas Pitcher 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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Thomas Pitcher’s Registration & Firm History

SC

11/30/2016 - Present

Compass Point Research & Trading, LLC (Mount Pleasant SC)

DC

05/03/2010 - 11/21/2016

HEIGHT SECURITIES, LLC (WASHINGTON DC)

DC

08/17/2009 - 05/26/2010

IRC SECURITIES LLC (WASHINGTON DC)

VA

09/06/2006 - 08/07/2009

FBR CAPITAL MARKETS & CO. (ARLINGTON VA)

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Licenses & Designations

BOTH

Issued 08/09/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/20/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/02/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/05/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Thomas Daniel Pitcher.
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