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Clifford Lee Malings

Compass Financial Advisors LLC

Chesterton, IN

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Current Employers
Compass Financial Advisors Llc

9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2005-12-14
  • IN RA
    APPROVED
    Since 2005-12-14

Branch Locations

160 Rail Road, Suite 2, Chesterton, IN 46304 • 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
OrganizationCityStateFromTo
Compass Financial Advisors Chesterton IN 09/2005 Present
  • 09/2005 → Present
    Compass Financial Advisors
    Chesterton, IN
Other Businesses

Ariel Solutions, LLC, owner, IN, wheelchair accessories, March 2018, 5hrs/week not during trading hours, not investment related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-11-30
S65 Uniform Investment Adviser Law Examination 2005-10-25
  • S63 Uniform Securities Agent State Law Examination
    2005-11-30
  • S65 Uniform Investment Adviser Law Examination
    2005-10-25
Other Names
  • Clifford Malings
  • Clifford L. Malings

View on SEC IAPD

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Logan Graham Ryan
PATRICK FRED HUDSON
Eric Robert Isakson
Devon Christopher Mulligan

Other Offices

FIFTH THIRD SECURITIES, INC. · CHESTERTON, IN
J.P. MORGAN SECURITIES LLC · Chesterton, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Chesterton, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Chesterton, IN
EDWARD JONES · CHESTERTON, IN
EDWARD JONES · CHESTERTON, IN
AMERIPRISE FINANCIAL SERVICES, LLC · Chesterton, IN
OSAIC WEALTH, INC. · CHESTERTON, IN

More in Chesterton, IN

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