Inactive

Radford E Brogden

Compass Wealth Management LLC

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Current Employers

Compass Wealth Management Llc

10 Water Street, Guilford, CT 06437 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2023-10-17
VA	RA	APPROVED	2021-06-30
CT	RA	APPROVED	2021-03-24

UT RA
APPROVED

Since 2023-10-17
VA RA
APPROVED

Since 2021-06-30
CT RA
APPROVED

Since 2021-03-24

Branch Locations

10 Water Street, Guilford, CT 06437 • United States

Midway, UT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Mclean	VA	11/2012	12/2020
Compass Asset Management	Guilford	CT	01/2021	Present

11/2012 → 12/2020

Rbc Capital Markets, Llc

Mclean, VA
01/2021 → Present

Compass Asset Management

Guilford, CT

Previous Registrations

2012-11-13 → 2020-12-08

Rbc Capital Markets, Llc

Washington, DC

Vienna, VA
2011-04-20 → 2012-11-20

Morgan Stanley

Washington, DC
2010-03-08 → 2011-03-08

Xml Securities

Fairfax, VA

Falls Church, VA

Bethesda, MD
2009-06-01 → 2010-03-23

Morgan Stanley

Washington, DC
2009-03-04 → 2009-06-01

Morgan Stanley & Co. Llc

Washington, DC
2007-12-01 → 2009-03-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Vienna, VA

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-11-16

S66 Uniform Combined State Law Examination

2007-11-16

Designations

Other Names

Rad Brogden

View on SEC IAPD

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Other Investors

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Other Offices

OSAIC WEALTH, INC. · Guilford, CT

COMMONWEALTH FINANCIAL NETWORK · Guilford, CT

LPL FINANCIAL LLC · GUILFORD, CT

LPL FINANCIAL LLC · Guilford, CT

LPL FINANCIAL LLC · GUILFORD, CT

CETERA INVESTMENT ADVISERS LLC · GUILFORD, CT

LPL FINANCIAL LLC · GUILFORD, CT

PROMESA CAPITAL LLC · GUILFORD, CT

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