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Prosperity, SC • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2024-07-17 |
| SC | RA | APPROVED | 2023-11-20 |
| CA | RA | APPROVED | 2011-01-28 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compass Financial, Llc | Escondido | CA | 02/2010 | Present |
Mr. Smith is licensed and registered as an insurance agent to sell life, health and variable insurance products for various insurance companies. He spends approximately 1% of his time on insurance related business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2005-05-13 |
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