Compass Point Research & Trading, LLC is a U.S.‑registered broker‑dealer and full‑service investment bank providing institutional brokerage, equity research, sales & trading, and capital markets services. Founded in 2007 and headquartered in Washington, D.C., the firm is registered with the U.S. Securities and Exchange Commission (SEC), is a member of the Financial Industry Regulatory Authority (FINRA), and participates in the Securities Investor Protection Corporation (SIPC). Compass Point operates among professional stock exchange brokers, facilitating institutional access to the US stock market and working in conjunction with NASDAQ stock brokers to support execution and market connectivity.
What Services Does Compass Point Research & Trading, LLC Offer?
Compass Point offers a comprehensive suite of services primarily for institutional and professional clients.
| Service Category | What Compass Point Research & Trading, LLC Offers |
| Investment Banking | Equity and debt capital markets, underwriting, and corporate advisory services |
| Equity & Fixed Income Research | Fundamental research and policy insights covering diverse industries |
| Sales & Trading | Institutional sales, trading and execution platform support |
| Corporate Access | Corporate outreach, analyst marketing, and management access |
| Capital Markets Solutions | Structuring and placement services for institutional needs |
These services are tailored for institutional investors, corporate issuers, and professional intermediaries participating actively in the US stock market.
Who Is Compass Point Research & Trading, LLC For?
Compass Point serves:
- Institutional investors seeking execution and research support
- Corporate clients pursuing capital raising and advisory services
- Professional market participants connecting with experienced stock exchange brokers
- Clients needing access or interaction with NASDAQ stock brokers and other execution partners
The firm’s focus is on institutional brokerage and investment banking rather than retail brokerage accounts.
Which Markets and Exchanges Can You Trade Through Compass Point Research & Trading, LLC?
Compass Point provides access to major U.S. trading markets through its broker‑dealer infrastructure and clearing relationships.
Market Access
- NASDAQ markets
- NYSE and other U.S. equities trading venues connected via institutional network relationships
- U.S. listed equities and corporate securities
Because Compass Point is a FINRA‑registered broker‑dealer, it can facilitate client orders on venues where institutional brokers participate in the US stock market.
Regulatory Memberships
- SEC registered broker‑dealer
- FINRA member
- SIPC member
These registrations confirm Compass Point’s regulated role among stock exchange brokers, and its coordination with networks that include NASDAQ stock brokers.
How Compass Point Research & Trading, LLC Helps You Trade & Invest
A typical institutional engagement involves:
- Establishing a brokerage relationship and account
- Collaborating with research analysts to identify market opportunities
- Executing trades through Compass Point’s sales & trading platform
- Accessing corporate access forums, conference calls, and analyst coverage
- Receiving post‑trade confirmations and ongoing research support
This workflow supports institutional clients in participating efficiently in major U.S. trading venues.
Contact Information and Website
Corporate Contact Information
| Detail | Information |
| Official Website | https://www.compasspointllc.com |
| Main Office Address | 1055 Thomas Jefferson St., NW, Suite 303, Washington, DC 20007, USA |
| Regulatory Status | SEC registered, FINRA member, SIPC member |
| CRD | 126258 |
Regional Office / Campus Locations
| Region / Area | Location Cities (Focus) |
| Headquarters | Washington, DC (Institutional Brokerage & Research) |
| Northeast | New York, NY (Sales & Trading Execution Teams) |
| New England | Boston, MA (Expanded Sales & Trading Presence) |
Compass Point’s offices support its presence in key financial markets and strengthen its institutional trading network.
Main Office Location
Why Compass Point Research & Trading, LLC Matters for Investors
Compass Point is valued for:
- Deep institutional equity research and policy insights
- Comprehensive investment banking and advisory services
- Robust sales & trading execution infrastructure that collaborates with NASDAQ stock brokers and other execution partners
- Expertise in facilitating participation in the US stock market for institutional clients
As a member of the regulated broker‑dealer community, the firm plays a key role among stock exchange brokers focused on institutional brokerage and capital markets access.
Readers looking for the complete U.S. stock exchanges list can explore our detailed guide.
Frequently Asked Questions
Q1: Is Compass Point Research & Trading, LLC a registered broker‑dealer?
Yes. The firm is registered with the SEC, is a FINRA member, and participates in SIPC coverage.
Q2: What types of services does Compass Point offer?
Compass Point offers investment banking, research, equity sales & trading, and corporate access services.
Q3: Can institutional clients trade NASDAQ securities through Compass Point?
Yes. Compass Point facilitates execution in NASDAQ markets through its institutional brokerage services.
Q4: Where are Compass Point’s key offices located?
Headquartered in Washington, DC with offices in Boston and New York..
