Glen E. Rolofson

COMPASS INVESTMENTS

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CRD#: 1852457

Professional summary

Glen Edwin Rolofson is a registered financial advisor currently at COMPASS INVESTMENTS LLC .

Glen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Glen has worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Glen Edwin Rolofson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 28, 2008 - Present

COMPASS INVESTMENTS LLC

RIA

CRD#: 141323

Past

February 9, 2001 - September 28, 2006

BAYSIDE FINANCIAL, LLC

CRD#: 44211

WALNUT CREEK, CA

Past

January 2, 1991 - January 29, 2001

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

May 10, 1989 - December 31, 1990

CENTURY INVESTORS OF AMERICA, INC.

CRD#: 5322

Past

April 10, 1989 - May 23, 1989

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

Past

July 21, 1988 - April 20, 1989

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

Past

July 21, 1988 - April 20, 1989

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

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 INVESTMENTS LLC

CRD#: 141323 / SEC#: 801-67114

RIA

Registered Investment Advisory firm - (8/31/2006 Approved)

Texas

Registered Investment Advisory firm - (8/16/2012 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.

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

Rhode Island
(1/28/2008)

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

Series 63

Date: 8/26/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/14/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/11/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COMPASS INVESTMENTS LLC

CRD#: 141323 / SEC#: 801-67114

RIA

Registered Investment Advisory firm - (8/31/2006 Approved)

Texas

Registered Investment Advisory firm - (8/16/2012 Terminated)

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Contact information

Main Address

2681 Sidney Street Suite 150, Pittsburgh, PA 15203

Mailing Address

Phone number

(570) 916-2208

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	412
AUM (Assets Under Management)	$ 85,299,430

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

Glen E. Rolofson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glen Edwin Rolofson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAYSIDE FINANCIAL, LLC

CUNA BROKERAGE SERVICES, INC.

CENTURY INVESTORS OF AMERICA, INC.

CUNA BROKERAGE SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

COMPASS INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1988

Series 7

Date: 11/14/1996

Series 6

Date: 7/11/1988

Current Firm

COMPASS INVESTMENTS LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS INVESTMENTS LLC

TRUST BUT VERIFY

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