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403 Allegheny Avenue, Towson, MD 21204 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2013-04-12 |
| TX | RA | APPROVED_RES | 2013-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| R.L. Compton & Associates, Inc. | Towson | MD | 01/1997 | Present |
| Lpl Financial Llc | Towson | MD | 06/2005 | Present |
| Red Oak Financial Group (Formerly: Compton Financial Group, Llc) | Towson | MD | 02/2013 | Present |
1. 7/26/2019 - No business name - Investment related - At reported business location(s) - Notary Public - start date:07/24/2019 - 1 hr/mo - 1 hr during trading. 2. 10/14/2021 - Red Oak Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/03/2022 - 100 Hours Per Month/100 During Securities Trading. 3. 11/3/2021 - Red Oak Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 01/03/2022 - 100 Hours Per Month During Securities Trading - Time Spent 63% - I provide investment advisory services through Red Oak Financial, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 12/07/2021 - Red Oak Retirement (DBA for R.L. Compton & Associates, Inc.) - Investment Related - At Reported Business Location(s) - Third Party Administrator (TPA) - Principal-Owner & CEO - Start Date: 01/03/2022 - 40 Hours Per Month/40 Hours During Securities Trading. 5) 03/12/2025 - 403 Allegheny LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date:03/10/2025 - 3 Hrs/Mth - 3 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-10 |
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