Geoffrey M. Garfield

COMPASS FINANCIAL MANAGEMENT LLC

Darien, CT

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CRD#: 2394674

Professional summary

Geoffrey Mchale Garfield, who also goes by Geoff Mchale Garfield, Geoff Garfield, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Darien, Connecticut.

Geoffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Geoffrey has worked at 8 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Geoff Mchale Garfield | Geoff Garfield

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 Geoffrey Mchale Garfield'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

November 18, 2024 - Present

COMPASS FINANCIAL MANAGEMENT LLC

RIA

CRD#: 156345

Darien, CT

Past

March 8, 2011 - June 1, 2022

ALTIUM WEALTH MANAGEMENT LLC

RIA

CRD#: 154719

PURCHASE, NY

Past

June 1, 2009 - February 24, 2011

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PURCHASE, NY

Past

September 1, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

MT. KISKO, NY

Past

June 1, 2001 - September 12, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 27, 1995 - June 5, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 29, 1993 - February 23, 1995

LEHMAN BROTHERS INC.

CRD#: 7506

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".

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.

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

Connecticut
(11/18/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/23/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/4/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 11/10/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/27/1993

General Securities Representative 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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Geoffrey M. Garfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey Mchale Garfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTIUM WEALTH MANAGEMENT LLC

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

COMPASS FINANCIAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/23/1995

Series 63

Date: 10/4/1993

Series 31

Date: 11/10/1998

Series 7

Date: 9/27/1993

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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