Jorey T. Bernstein

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CRD#: 1808647

Professional summary

Jorey T. Bernstein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jorey is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Jorey had worked at 8 firms, which includes COMPASS FINANCIAL MANAGEMENT LLC, WESTERN INTERNATIONAL SECURITIES INC., MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., THE INVESTMENT CENTER INC., GO TRADING INC., FIDELITY BROKERAGE SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Jorey T Bernstein | Jorey Bernstein

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 1, 2025 - September 12, 2025

COMPASS FINANCIAL MANAGEMENT LLC

RIA

CRD#: 156345

Woodland Hills, CA

Past

December 9, 2015 - April 21, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Newport Beach, CA

Past

December 9, 2015 - April 21, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Newport Beach, CA

Past

June 1, 2009 - December 11, 2015

MORGAN STANLEY

RIA

CRD#: 149777

BEVERLY HILLS, CA

Past

June 1, 2009 - December 11, 2015

MORGAN STANLEY

CRD#: 149777

BEVERLY HILLS, CA

Past

November 2, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LOS ANGELES, CA

Past

October 14, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

LOS ANGELES, CA

Past

August 17, 1998 - September 23, 1999

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

October 31, 1997 - August 13, 1998

GO TRADING, INC.

CRD#: 41355

LOS ANGELES, CA

Past

November 9, 1990 - November 4, 1997

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

November 13, 1989 - September 17, 1990

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

October 11, 1988 - March 11, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

June 21, 1988 - October 4, 1988

THE INVESTMENT CENTER, INC.

CRD#: 17839

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".

COMPASS FINANCIAL MANAGEMENT LLC

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/29/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/25/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 11/11/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/13/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/1992

General Securities Principal Examination

Current Firm

COMPASS FINANCIAL MANAGEMENT LLC

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)

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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

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS FINANCIAL MANAGEMENT ADV PART 2A 3/19/2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,350
AUM (Assets Under Management)	$ 518,984,611

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Jorey T. Bernstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

THE INVESTMENT CENTER, INC.

GO TRADING, INC.

THE INVESTMENT CENTER, INC.

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THE INVESTMENT CENTER, INC.

Primary Firm SEC Registration

COMPASS FINANCIAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/29/2005

Series 63

Date: 10/29/2005

SIE

Date: 10/1/2018

Series 3

Date: 1/25/2009

Series 31

Date: 11/11/2008

Series 7

Date: 10/13/2005

Series 24

Date: 4/30/1992

Current Firm

COMPASS FINANCIAL MANAGEMENT LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL MANAGEMENT LLC

TRUST BUT VERIFY

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