MM
Mark A. Menges
COMPASS FINANCIAL GROUP
WORTHINGTON, OH 43085
Some features on this profile are disabled
CRD#: 2875507
MM
Professional summary
Mark Alan Menges is a registered financial advisor currently at COMPASS FINANCIAL GROUP, INC. located in Worthington, Ohio and WESTMINSTER FINANCIAL SECURITIES, INC. located in Dublin, Ohio.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1)COMPASS FINANCIAL GROUP; INVESTMENT RELATED; 6600 PERIMETER DRIVE SUITE 200 DUBLIN OHIO 43016; RIA; President; 04/01/2019 TO PRESENT; 80 HOURS PER MONTH ALSO DURING TRADING HOURS; HELP CLIENTS INVEST MONEY UNDER AN ASSET MANAGEMENT AGREEMENT.
2)MONA LISA PARTNERS LLC; NOT INVESTMENT RELATED; 6600 PERIMETER DRIVE SUITE 200 DUBLIN OHIO 43016; REAL ESTATE INVESTING; OWNER; 10/01/2007 TO PRESENT; 10 HOURS PER MONTH; HANDLE BOOKKEEPING FOR CONDO.
3)RTK INVESTMENTS, LLC; NOT INVESTMENT RELATED; 6600 PERIMETER DRIVE SUITE 200 DUBLIN OHIO 43016; REAL ESTATE INVESTING; OWNER; 09/01/2000 TO PRESENT; 5 HOURS PER MONTH; OWN RENTAL PROPERTIES; HOLDING COMPANY OWN RENTAL PROPERTY. 4)INSOURCE; NOT INVESTMENT RELATED; 8500 KEYSTONE CROSSING SUITE 300 INDIANAPOLIS IN 46240; BROKER; START DATE: 12/15/2011; 1 HOUR PER MONTH(0 O HOURS DURING TRADING) PLACE FIXED ANNUITY BUSINESS. 5) ASH BROKERAGE CORPORATION; NOT INVESTMENT RELATED; 7609 W JEFFERSON BLVD FT WAYNE IN 46804; GENERAL AGENCY; BROKER AGENT; START DATE: 12/15/2011; 1 HOUR PER MONTH (0 HOURS DURING TRADING HOURS) OFFER LONG TERM CARE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Menges'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
October 5, 2004 - Present
COMPASS FINANCIAL GROUP, INC.
Office #1: 6797 High Street, Worthington, OH 43085Office #2: 6277 Riverside Drive Suite 2n, Dublin, OH 43017RIA
CRD#: 130867
WORTHINGTON, OH
Current
July 15, 2022 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 6277 Riverside Drive #2n, Dublin, OH 43017BD
CRD#: 20677
Dublin, OH
Past
July 2, 1997 - July 19, 2022
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Dublin, OH
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 GROUP, INC.
COMPASS FINANCIAL GROUP, INC. | COMPASS FINANCIAL GROUP, LLC
CRD#: 130867 / SEC#: 801-130710
RIA
Registered Investment Advisory firm - (7/17/2024 Approved)Ohio
Registered Investment Advisory firm - (7/22/2024 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.RR
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
RR
Arizona(7/15/2022)
RR
California(7/15/2022)
RR
Connecticut(1/2/2025)
RR
Florida(7/15/2022)
RR
Georgia(10/10/2023)
RR
Illinois(7/15/2022)
RR
Indiana(7/15/2022)
RR
Iowa(7/15/2022)
RR
Kentucky(7/15/2022)
RR
Massachusetts(7/15/2022)
RR
Michigan(7/15/2022)
RR
Missouri(7/15/2022)
RR
New Hampshire(7/15/2022)
RR
New York(7/15/2022)
RR
North Carolina(7/15/2022)
IAR
Ohio(10/5/2004)
RR
Ohio(7/15/2022)
RR
Oklahoma(12/3/2024)
RR
Pennsylvania(7/15/2022)
RR
South Carolina(7/15/2022)
RR
South Dakota(9/10/2024)
RR
Tennessee(7/15/2022)
RR
Texas(7/15/2022)
RR
Virginia(7/15/2022)
RR
West Virginia(7/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COMPASS FINANCIAL GROUP, INC.
COMPASS FINANCIAL GROUP, INC. | COMPASS FINANCIAL GROUP, LLC
CRD#: 130867 / SEC#: 801-130710
RIA
Registered Investment Advisory firm - (7/17/2024 Approved)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6277 Riverside Drive Suite 2n, Dublin, OH 43017
Mailing Address
Phone number
(614) 791-0093
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 151 |
| AUM (Assets Under Management) | $ 128,354,287 |
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.
