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Joseph William Dise

Compass Financial Management LLC

Tampa, FL

Treasure Island, FL

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Current Employers
Compass Financial Management Llc

2422 W. Sunset Drive, Tampa, FL 33629 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2020-08-28
  • FL RA
    APPROVED
    Since 2020-08-28

Branch Locations

2422 W. Sunset Drive, Tampa, FL 33629 • United States

12200 5Th Street E, Treasure Island, FL 33706 • United States

Disclosures

2 disclosure categories 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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Dise Wealth Management Incorporated Treasure Island FL 01/2007 Present
Compass Financial Management Llc Parsippany NJ 08/2020 Present
Previous Registrations
  • 2007-03-08 → 2020-12-31
    Dise Wealth Management Incorporated
    Treasure Island, FL
    Naples, FL
  • 2003-07-01 → 2007-03-20
    Wells Fargo Clearing Services, Llc
    Danbury, CT
    Danbury, CT
  • 2000-10-17 → 2003-07-01
    Prudential Equity Group, Llc
    Danbury, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-26
S63 Uniform Securities Agent State Law Examination 1993-01-15
  • S65 Uniform Investment Adviser Law Examination
    1999-10-26
  • S63 Uniform Securities Agent State Law Examination
    1993-01-15
Other Names
  • Joseph W Dise
  • Joe Dise

View on SEC IAPD

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