SW
Steven C. Walstad
COMPASS FINANCIAL MANAGEMENT LLC
Bloomington, MN 55437
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CRD#: 1577424
SW
Professional summary
Steven Craig Walstad, who also goes by Steve Craig Walstad, Steve Walstad, Wally Walstad, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Bloomington, Minnesota.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Steven has worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Craig Walstad | Steve Walstad | Wally Walstad
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.
INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INVESTMENT RELATED, START DATE 1984, SAME ADDRESS, 5HR/MO NON TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Craig Walstad'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®
NoneExperience
Current
December 16, 2021 - Present
COMPASS FINANCIAL MANAGEMENT LLC
Office #1: 8400 Normandal Lake Blvd #920, Bloomington, MN 55437RIA
CRD#: 156345
Bloomington, MN
Past
September 20, 2013 - August 1, 2024
INDEPENDENT INVESTMENT ADVISORS INC.
RIA
CRD#: 165982
BLOOMINGTON, MN
Past
April 18, 2008 - December 14, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
PLYMOUTH, MN
Past
November 26, 2007 - April 22, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
GOLDEN VALLEY, MN
Past
October 31, 2005 - November 27, 2007
OSAIC SERVICES, INC.
BD
CRD#: 133763
GOLDEN VALLEY, MN
Past
March 27, 1997 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
July 19, 1996 - April 2, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
July 19, 1996 - April 2, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Minnesota(12/16/2021)
Exams
State Security Law Exam
General Industry/Product 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.
