Kenneth Richard Smith

West Chester, PA • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2003-11-25

Branch Locations

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

Organization	City	State	From	To
Compass Financial Advisors, Llc	Springfield	PA	11/2003	Present
Mcg Securities Llc	Wayne	PA	04/2012	10/2020
Bluestone Capital Management	Wayne	PA	01/2014	10/2020
Alden Capital Management Inc	Jenkintown	PA	02/2018	06/2026
Cohen & Company Financial Management, Llc	Philadelphia	PA	01/2017	03/2021
Dekania Capital Management, Llc	Philadelphia	PA	01/2017	03/2021
J Alden Associates Inc	Jenkintown	PA	03/2018	06/2026
Equalize Capital	San Juan	PR	01/2019	01/2024
Alden Investment Advisors	Wayne	PA	01/2023	06/2026

2018-04-02 → 2026-06-15

Alden Capital

Wayne, PA

Wayne, PA
2022-07-26 → 2026-06-15

Alden Investment Group

Wayne, PA
2017-03-21 → 2023-01-11

Cohen & Company Financial Management, Llc

New York, NY
2019-03-06 → 2022-12-31

Equalize Capital Llc

Wayne, PA

San Juan, PR
2017-03-21 → 2021-03-31

Dekania Capital Management, Llc

New York, NY
2014-01-28 → 2020-10-01

Bluestone Capital Management, Llc

Wayne, PA
2005-08-26 → 2006-02-15

Cbt Investment Management, Llc

Philadelphia, PA
2002-10-22 → 2005-12-15

Cbt Investment Management, Inc.

Philadelphia, PA

COMPASS FINANCIAL ADVISORS, LLC - CHIEF COMPLIANCE OFFICER, OWNER, iNVESTMENT ADVISOR

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-09-25
S63	Uniform Securities Agent State Law Examination	1995-03-28