Lauren M. King
COMPASS ADVISORS | Managing Partner
Melville, NY 11747
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CRD#: 4629988
Professional summary
Lauren Michelle King, CFP®, who also goes by Lauren Michelle Pastrich, is a registered financial advisor currently at COMPASS ADVISORS located in Melville, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Melville, New York.
Lauren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Lauren has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 86 and Series 87 exams.
Question & Answer
What are your service offerings?
Institutional consulting
Philanthropic services
Insurance
Trust & estate planning
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
Are you a "fiduciary"?
Yes
Aliases
Lauren Michelle Pastrich
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) LAUREN KING IS DUALLY-REGISTERED WITH COMPASS ADVISORY GROUP, LLC d/b/a COMPASS ADVISORS AND PURSHE KAPLAN STERLING INVESTMENTS, INC.. LAUREN KING HAS SERVED AS AN INVESTMENT ADVISOR REPRESENTATIVE FOR COMPASS ADVISORY GROUP, LLC AND A REGISTERED REPRESENTATIVE WITH PURSHE KAPLAN STERLING INVESTMENTS, INC. SINCE 05/2017. BUSINESS IS CONDUCTED FROM MELVILLE, NY. APPROXIMATELY 90% OF LAUREN KING'S TIME IS FOR SERVICES AS AN INVESTMENT ADVISOR REPRESENTATIVE AND THE BALANCE AS A REGISTERED REPRESENTATIVE. 2) Compass Advisory Group LLC d/b/a Compass Advisors;155 Pinelawn Road, Suite 210 N, Melville, NY 11747 Not Investment Related;3/2-Requested; non-variable insurance; managing partner; 05/2017; 10% time/month; 10% of time/month during securities trading hours; sell life, long term disability, long term care and fixed annuities through outside general agencies. 3)The Financial Literacy Education Project; not investment related; nonprofit to teach children and disadvantages individuals about financial literacy; educator; 05/2017; 2 hours/month; 1 hour/month during securities trading hours; teach middle school aged children about consumer behavior and financial literacy. 4)998 OCR, Suite 4 Corporation; Not investment related; 155 Pinelawn Road, Suite 210 N, Melville, NY 117473; Business entity for tax purposes; finance manager; 05/2017; 4 hours/month; 4 hours/month during securities trading hours; bookkeeping entity for firm expenses. 5) Lauren M. King, Inc.; Not Investment Related; 155 Pinelawn Road, Suite 210N, Melville, NY 11747; Holding Company; President; 11/2014; 0 hrs/mth; 0 hrs during trading; Holding account for tax purposes where I am the sole owner and employee.
CRS (Client Relationship Summary) - RIA
Click below to view Lauren Michelle King'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®
CFP®
Start date: 2013
Experience
Current
February 25, 2019 - Present
COMPASS ADVISORS
Office #1: 155 Pinelawn Road Suite 210 N, Melville, NY 11747RIA
CRD#: 288256
Melville, NY
Current
May 15, 2017 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 155 Pinelawn Road Suite 210n, Melville, NY 11747BD
CRD#: 35747
Melville, NY
Past
May 15, 2017 - November 20, 2018
COMPASS ADVISORS
RIA
CRD#: 288256
MELVILLE, NY
Past
April 12, 2017 - May 31, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
PLAINVIEW, NY
Past
February 13, 2012 - August 13, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
PLAINVIEW, NY
Past
November 11, 2010 - May 31, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
PLAINVIEW, NY
Past
November 14, 2003 - July 13, 2005
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NASHVILLE, TN
Past
March 13, 2003 - October 23, 2003
BROWN BROTHERS HARRIMAN & CO.
BD
CRD#: 104487
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".
CA
COMPASS ADVISORS
COMPASS ADVISORS | COMPASS ADVISORY GROUP LLC
CRD#: 288256 / SEC#: 801-110409
RIA
Registered Investment Advisory firm - (4/14/2017 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.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
Connecticut(5/15/2017)
RR
Florida(8/7/2023)
RR
New York(5/15/2017)
IAR
New York(6/4/2021)
IAR
Texas(2/25/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
COMPASS ADVISORS
COMPASS ADVISORS | COMPASS ADVISORY GROUP LLC
CRD#: 288256 / SEC#: 801-110409
RIA
Registered Investment Advisory firm - (4/14/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Pinelawn Road Suite 210 N, Melville, NY 11747
Mailing Address
Phone number
(516) 938-2400
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,079 |
| AUM (Assets Under Management) | $ 644,083,351 |
Red Flags
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Company Information
COMPASS ADVISORS
Managing PartnerCRD#: 288256Melville, NY 11747TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
