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2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2025-11-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E.K. Riley Investments | Seattle | WA | 04/2013 | 11/2020 |
| Lpl Financial Llc | Walla Walla | WA | 10/2020 | 08/2021 |
| Compass Financial Services | Walla Walla | OR | 08/2021 | Present |
| Commonwealth Financial Network | Waltham | MA | 08/2021 | 11/2025 |
| Arkadios Capital | Atlanta | GA | 11/2025 | Present |
| Arkadios Wealth Advisors | Atlanta | GA | 11/2025 | Present |
1. Fixed insurance sales; as of 06/29/2021; 3% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Compass Financial Services, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 8/18/2021; 100% of time spent during business hours; Conducted at branch; Investment related. 3. Co-owner, Kessel Enterprises, Inc.; a private entity providing construction services; Located in Waitsburg, WA; as of 01/06/2005; 0% of time spent during business hours; Not Conducted at branch location; Not Investment related. 4. Blue Mountain Community Foundation, Is Not Investment Related, 22 E Poplar Ste 206, Walla Walla, WA, 99362, United States, Community non profit organization, Investment Committee Member,5/13/2023, 3 hours per month, 3 hours per month during trading hours, No Compensation Compensation, Meet quarterly with committee and listen to portfolio manager's review of assets they manage and discussion about markets. Committee reviews IPS and mgr performance and makes recommendations to the board of trustees
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 2003-06-13 |
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