Stuart A. Schiffman
Professional summary
Stuart Allan Schiffman is a registered financial advisor currently at COMPOUND WEALTH ADVISORS located in San Diego, California.
Stuart is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Stuart has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Allan Schiffman's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2022 - Present
COMPOUND WEALTH ADVISORS
December 1, 2021 - November 17, 2022
CWM, LLC
August 18, 2017 - December 1, 2021
COMPOUND WEALTH ADVISORS
April 20, 1994 - February 24, 1995
MONTGOMERY SECURITIES
January 14, 1992 - July 28, 1992
SUTRO & CO. INCORPORATED
March 7, 1989 - February 12, 1990
SBC WARBURG DILLON READ INC.
July 8, 1986 - May 23, 1989
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/6/2023)
(12/19/2022)
(3/30/2023)
Exams
Current Firm
COMPOUND WEALTH ADVISORS
CRD#: 288240 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 8,200,000 |
Red Flags
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