Bernard J. Kavanagh

EQUITYCOMPASS INVESTMENT MANAGEMENT

BALTIMORE, MD 21202

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CRD#: 2496007

Professional summary

Bernard Joseph Kavanagh III, who also goes by Bernard J Kavanagh III, is a registered financial advisor currently at EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC located in Baltimore, Maryland and STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Bluffton, South Carolina.

Bernard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Bernard has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bernard J Kavanagh Iii

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 Bernard Joseph Kavanagh III'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 6, 2012 - Present

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

Office #1: One South Street, Baltimore, MD 21202

RIA

CRD#: 145420

BALTIMORE, MD

Current

October 4, 2013 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 1276 May River Road Suite 200, Bluffton, SC 29910

RIA

CRD#: 793

Bluffton, SC

Past

October 7, 2011 - January 3, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

BALTIMORE, MD

Past

December 1, 2005 - January 3, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BALTIMORE, MD

Past

December 20, 2000 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

December 1, 1997 - May 8, 2000

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

Past

February 7, 1995 - May 16, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 7, 1995 - May 16, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

CRD#: 145420 / SEC#: 801-69131

RIA

Registered Investment Advisory firm - (5/8/2008 Approved)

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

IAR

Maryland
(1/6/2012)

Maryland
(10/7/2013)

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: 10/6/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/23/1998

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: 11/28/1997

General Securities Representative Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

CRD#: 145420 / SEC#: 801-69131

RIA

Registered Investment Advisory firm - (5/8/2008 Approved)

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Contact information

Main Address

One South Street 25th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 224-1231

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	158
AUM (Assets Under Management)	$ 222,608,624

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

Bernard J. Kavanagh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bernard Joseph Kavanagh III's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

T. ROWE PRICE INVESTMENT SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/6/2011

Series 63

Date: 1/23/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/28/1997

Cboe BZX Exchange, Inc.

FINRA

NYSE American LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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