Nathan L. Wilson

COMPASS FINANCIAL MANAGEMENT LLC

Laramie, WY 82072

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CRD#: 3088187

Professional summary

Nathan Lee Wilson, who also goes by Nate Wilson, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Laramie, Wyoming.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Nathan has worked at 11 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nate Wilson

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 Nathan Lee Wilson'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

September 11, 2023 - Present

COMPASS FINANCIAL MANAGEMENT LLC

Office #1: 2024 E. Binford St. Room 733-b, Laramie, WY 82072

RIA

CRD#: 156345

Laramie, WY

Past

November 15, 2007 - October 30, 2023

GUIDESPRING WEALTH STRATEGIES, LLC

RIA

CRD#: 145405

FT. COLLINS, CO

Past

January 11, 2007 - December 31, 2007

EPLANNING ADVISORS INC

RIA

CRD#: 109184

ROSEVILLE, CA

Past

January 8, 2007 - December 31, 2007

EPLANNING SECURITIES, INC.

CRD#: 46000

ARLINGTON, TX

Past

April 28, 2006 - December 31, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

ARLINGTON, TX

Past

April 28, 2006 - December 31, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

ARLINGTON, TX

Past

January 18, 2005 - April 25, 2006

GWN SECURITIES INC.

RIA

CRD#: 128929

MCKINNEY, TX

Past

January 18, 2005 - April 25, 2006

GWN SECURITIES INC.

CRD#: 128929

PALM BEACH GARDENS, FL

Past

January 29, 2004 - December 31, 2004

PMG ASSET MANAGEMENT INC

RIA

CRD#: 110825

PLANO, TX

Past

July 16, 2003 - December 31, 2004

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

August 2, 2002 - July 14, 2003

INSTITUTIONAL SECURITIES CORPORATION

CRD#: 20291

DALLAS, TX

Past

May 25, 2001 - July 1, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PLANO, TX

Past

May 25, 2001 - July 1, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 7, 1998 - May 29, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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

Colorado
(9/11/2023)

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: 8/20/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/20/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/6/1998

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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Advisor Monitoring

Firm Stability Insights

Nathan L. Wilson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan Lee Wilson's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUIDESPRING WEALTH STRATEGIES, LLC

EPLANNING ADVISORS INC

EPLANNING SECURITIES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

GWN SECURITIES INC.

GWN SECURITIES INC.

PMG ASSET MANAGEMENT INC

PMG SECURITIES CORPORATION

INSTITUTIONAL SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

COMPASS FINANCIAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/1998

Series 63

Date: 8/11/1998

Series 31

Date: 8/20/1998

Series 7

Date: 8/6/1998

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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