Simone M. Gladstone

COMPASS ROSE STRATEGIC PARTNERS LLC

Waterford, CT 06385

Some features on this profile are disabled

CRD#: 1917328

Professional summary

Simone M Gladstone, CFP®, who also goes by Simone M Allen, Simone M Boroski, is a registered financial advisor currently at COMPASS ROSE STRATEGIC PARTNERS LLC located in Waterford, Connecticut and VANDERBILT SECURITIES, LLC located in Waterford, Connecticut.

Simone is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Simone has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Estate Planning

Elder Care

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

Tax Planning

Divorce Planning

Insurance Planning

Are you a "fiduciary"?

Yes

Aliases

Simone M Allen | Simone M Boroski

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.

1) Compass Rose Strategic Patrtners LLC. Investment related. Start date: 10/12/2012. Address: 426 Boston Post Road, Waterford CT, 06385. Title: RIA:Owner/member CFP IAR. Duties: Comprehensive financial planning. Time spent during regular hours: 90% 2) Insurance Business. Not Investment related. Start date: 10/12/2012. Address: 426 Boston Post Road, Waterford CT, 06385. Title: CFP. Duties: Insurance business which includes LTC, term life insurance, VUL life insurance, fixed annuities and various insurance products based on clients needs and goals. Time spent during regular hours: 5%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simone M Gladstone'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^®

Certified Financial Planner

Start date: 2000

Experience

Current

December 10, 2012 - Present

COMPASS ROSE STRATEGIC PARTNERS LLC

Office #1: 426 Boston Post Road Suite A, Waterford, CT 06385

RIA

CRD#: 165043

Waterford, CT

Current

June 26, 2024 - Present

VANDERBILT SECURITIES, LLC

Office #1: 426 Boston Post Road, Suite A, Waterford, CT 06385

CRD#: 5953

Waterford, CT

Past

October 17, 2012 - June 27, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Waterford, CT

Past

June 1, 2009 - October 29, 2012

MORGAN STANLEY

RIA

CRD#: 149777

ESSEX, CT

Past

June 1, 2009 - October 29, 2012

MORGAN STANLEY

CRD#: 149777

ESSEX, CT

Past

August 1, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ESSEX, CT

Past

July 14, 2000 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ESSEX, CT

Past

December 6, 1991 - August 4, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/26/2024)

Colorado
(6/26/2024)

IAR

Connecticut
(12/10/2012)

Connecticut
(6/26/2024)

District of Columbia
(6/26/2024)

IAR

Florida
(1/2/2013)

Florida
(6/26/2024)

Idaho
(8/7/2024)

Indiana
(2/5/2025)

Maine
(6/26/2024)

Massachusetts
(6/26/2024)

Nevada
(6/26/2024)

New Hampshire
(6/26/2024)

New Mexico
(6/26/2024)

New York
(6/26/2024)

North Carolina
(6/27/2024)

Pennsylvania
(6/26/2024)

Rhode Island
(6/26/2024)

Tennessee
(6/26/2024)

IAR

Texas
(5/14/2014)

Texas
(6/26/2024)

Vermont
(6/26/2024)

Washington
(6/26/2024)

Wisconsin
(6/26/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/24/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

COMPASS ROSE STRATEGIC PARTNERS LLC

COMPASS ROSE STRATEGIC PARTNERS LLC | FAIRLEAD WEALTH MANAGEMENT, LLC

CRD#: 165043 / SEC#:

Connecticut

Registered Investment Advisory firm - (10/12/2012 Approved)

Florida

Registered Investment Advisory firm - (1/2/2013 Approved)

Texas

Registered Investment Advisory firm - (5/14/2014 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

426 Boston Post Road Suite A, Waterford, CT 06385

Mailing Address

Phone number

(860) 437-7600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	372
AUM (Assets Under Management)	$ 86,873,477

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Marc Lowe

IN THE MONEY RETIREMENT PLANNING LIMITED LIABILITY COMPANY

IAR

WATERFORD, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Simone M. Gladstone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simone M Gladstone's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANDERBILT SECURITIES, LLC

TRIAD ADVISORS LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/1993

Series 63

Date: 12/18/1991

SIE

Date: 10/1/2018

Series 7

Date: 12/4/1991

FINRA

Current Firm

COMPASS ROSE STRATEGIC PARTNERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COMPASS ROSE STRATEGIC PARTNERS LLC

TRUST BUT VERIFY

Contact information

Similar Advisors