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Compass Financial Management LLC CRD 156345
$894M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
2422 W. Sunset Drive, Tampa, FL 33629 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2025-04-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sc Distributors, Llc | Costa Mesa | CA | 12/2015 | 08/2017 |
| Allianz Life Insurance Company Of North America | Minneapolis | MN | 09/2017 | 09/2022 |
| Allianz Life Financial Services Llc | Minneapolis | MN | 09/2017 | 09/2022 |
| Key Investment Services Llc | Brooklyn | OH | 10/2022 | 01/2024 |
| Lpl Financial, Llc | Biddeford | ME | 03/2024 | 10/2024 |
| Dst Wealth Management Llc | Indian Wells | CA | 10/2024 | Present |
| Producers Prospect Imo | Troy | MI | 01/2025 | Present |
1. Producers Prospect/ECA IMO, investment related, 7800 Equitable Dr Suite 200 Eden Prairie, MN 55344, insurance sales, Head of Wealth Management, 1/1/2025, 12 hours a month, 4 hours during trading hours. 2. Intellivisor Estate, not investment related, 30 N Gould St. Suite R Sheridan, WY 82801, Wills & Trust documentation prep, Head of Wealth Management, 6/1/2025, 2 hours a month, 0 hours during trading hours. 3. Intellivisor Tax, not investment related, 30 N Gould St. Suite R Sheridan, WY 82801, Tax Planning reviews, Head of Wealth Management, 6/1/2025, 2 hours a month, 0 hours during trading hours. 4. Estate Planning Team (EPT), not investment related, 45110 Club Dr Suite B Indian Wells, CA 92210, Deferred Sales Trusts, 10/1/2024, 2 hours a month, 0 hours during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-04 |
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