WS
Wendell B. Stewart
COMPASS FINANCIAL MANAGEMENT LLC
Windham, NH
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CRD#: 1300285
WS
Professional summary
Wendell Breneman Stewart III, CFP®, who also goes by Wendell Breneman Stewart, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Windham, New Hampshire.
Wendell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Wendell has worked at 7 firms and has passed the Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Planning
Comprehensive Financial Planni...
Retirement Income Management
Are you a "fiduciary"?
Yes
Aliases
Wendell Breneman Stewart
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
CURRENTLY ENGAGE IN LIMITED INSURANCE SALES AS A SOLE PROPRIETOR. ALL ACTVITIES ARE CONDUCTED ON THE PREMISES OF EXECUTIVE FINANCIAL SERVICES, INC. AT THE ADDRESS ON RECORD. ALL SALES ARE RELATED TO FINANCIAL PLANNING SERVICES CONDUCTED THROUGH THE RIA.
CRS (Client Relationship Summary) - RIA
Click below to view Wendell Breneman Stewart III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1993
Experience
Current
December 19, 2024 - Present
COMPASS FINANCIAL MANAGEMENT LLC
RIA
CRD#: 156345
Windham, NH
Past
January 9, 2003 - July 25, 2005
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
ALBANY, NY
Past
January 21, 1999 - October 28, 2002
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
WINDHAM, NH
Past
January 1, 1992 - March 14, 2025
EXECUTIVE FINANCIAL SERVICES, INC.
RIA
CRD#: 116839
WINDHAM, NH
Past
June 23, 1989 - December 18, 2002
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
February 15, 1985 - January 30, 1986
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Past
October 1, 1984 - December 31, 1989
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
COMPASS FINANCIAL MANAGEMENT LLC
COMPASS FINANCIAL MANAGEMENT LLC | ZODA FINANCIAL | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT
CRD#: 156345 / SEC#: 801-118185
RIA
Registered Investment Advisory firm - (3/6/2020 Approved)Florida
Registered Investment Advisory firm - (3/11/2020 Terminated)New Jersey
Registered Investment Advisory firm - (3/19/2020 Terminated)New York
Registered Investment Advisory firm - (3/11/2020 Terminated)South Carolina
Registered Investment Advisory firm - (3/11/2020 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New Hampshire(12/19/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CF
COMPASS FINANCIAL MANAGEMENT LLC
COMPASS FINANCIAL MANAGEMENT LLC | ZODA FINANCIAL | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT
CRD#: 156345 / SEC#: 801-118185
RIA
Registered Investment Advisory firm - (3/6/2020 Approved)Florida
Registered Investment Advisory firm - (3/11/2020 Terminated)New Jersey
Registered Investment Advisory firm - (3/19/2020 Terminated)New York
Registered Investment Advisory firm - (3/11/2020 Terminated)South Carolina
Registered Investment Advisory firm - (3/11/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2422 W. Sunset Drive, Tampa, FL 33629
Mailing Address
Phone number
(813) 831-5168
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,350 |
| AUM (Assets Under Management) | $ 518,984,611 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
