JD
Joseph W. Dise
COMPASS FINANCIAL MANAGEMENT LLC
Treasure Island, FL 33706
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CRD#: 2299007
JD
Professional summary
Joseph William Dise, who also goes by Joe Dise, Joseph W Dise, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Treasure Island, Florida.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Joseph has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Dise | Joseph W Dise
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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph William Dise'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
August 28, 2020 - Present
COMPASS FINANCIAL MANAGEMENT LLC
Office #1: 12200 5th Street E, Treasure Island, FL 33706RIA
CRD#: 156345
Treasure Island, FL
Past
March 8, 2007 - December 31, 2020
DISE WEALTH MANAGEMENT INCORPORATED
RIA
CRD#: 143188
TREASURE ISLAND, FL
Past
July 1, 2003 - March 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DANBURY, CT
Past
July 1, 2003 - March 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DANBURY, CT
Past
October 17, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
DANBURY, CT
Past
October 6, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 5, 1995 - November 6, 2000
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
MERIDEN, CT
Past
January 6, 1993 - October 3, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Florida(8/28/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory 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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Company Information
COMPASS FINANCIAL MANAGEMENT LLC
CRD#: 156345Treasure Island, FL 33706TRUST BUT VERIFY
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