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Carolyn Ann Matthes

Compass Wealth Management LLC

Guilford, CT

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Current Employers
Compass Wealth Management Llc

10 Water Street, Guilford, CT 06437 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 1997-04-17
  • CT RA
    APPROVED
    Since 1997-04-17

Branch Locations

10 Water St., Guilford, CT 06437 • 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
Westport Resources Investment Services, Inc. Guilford CT 02/1997 09/2016
Compass Asset Management Guilford CT 02/1997 Present
  • 02/1997 → 09/2016
    Westport Resources Investment Services, Inc.
    Guilford, CT
  • 02/1997 → Present
    Compass Asset Management
    Guilford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-28
S63 Uniform Securities Agent State Law Examination 1989-01-13
  • S65 Uniform Investment Adviser Law Examination
    1994-10-28
  • S63 Uniform Securities Agent State Law Examination
    1989-01-13
Other Names
  • Carolyn Ann Massage

View on SEC IAPD

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