KD
Kelvin R. Douglas
COMPASS FINANCIAL MANAGEMENT LLC
Mcminnville, TN 37110
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CRD#: 4723703
KD
Professional summary
Kelvin Ray Douglas is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Mcminnville, Tennessee and DMK ADVISOR GROUP, INC. located in Mcminnville, Tennessee.
Kelvin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kelvin has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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.
DOUGLAS & LANIER AGENCY INC POSITION: Vice President NATURE: Corporation providing Property & Casualty, Life Insurance and Health Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 03/01/2016 ADDRESS: 811 Faulkner Springs Rd., McMinnville, TN 37110, United States DESCRIPTION: Managing employees. Solicitation of Life, Group Health and Property & Casualty D&L Holding LLC Position: member Nature: real estate landlord Investment Related: no Number of Hours: 2 hours a month Start Date: April 2019 DMK Advisor Group Inc (as listed on U4) Position: shareholder & investment professional. Nature: BD & RIA Investment Related: yes Number of Hours: 4 hours a month Compass Financial Management LLC through association with DMK
CRS (Client Relationship Summary) - RIA
Click below to view Kelvin Ray Douglas'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
April 26, 2021 - Present
COMPASS FINANCIAL MANAGEMENT LLC
Office #1: 811 Faulkner Springs Rd., Mcminnville, TN 37110RIA
CRD#: 156345
Mcminnville, TN
Current
January 5, 2022 - Present
DMK ADVISOR GROUP, INC.
Office #1: 811 Faulkner Springs Rd, Mcminnville, TN 37110RIA
BD
CRD#: 41067
Mcminnville, TN
Current
March 29, 2019 - Present
DMK ADVISOR GROUP, INC.
Office #1: 811 Faulkner Springs Rd, Mcminnville, TN 37110RIA
BD
CRD#: 41067
Mcminnville, TN
Past
April 22, 2019 - December 31, 2021
DMK ADVISOR GROUP, INC.
RIA
CRD#: 41067
McMinnville, TN
Past
December 14, 2017 - April 3, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
MCMINNVILLE, TN
Past
June 30, 2015 - April 3, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
MCMINNVILLE, TN
Past
December 6, 2011 - July 1, 2015
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
February 23, 2004 - December 8, 2011
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
MCMINNVILLE, TN
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 MANAGEMENT LLC
COMPASS FINANCIAL MANAGEMENT LLC | ZODA FINANCIAL | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT
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)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
Alabama(11/14/2019)
RR
Michigan(12/24/2024)
RR
Tennessee(3/29/2019)
IAR
Tennessee(4/26/2021)
IAR
Virginia(6/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/19/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COMPASS FINANCIAL MANAGEMENT LLC
COMPASS FINANCIAL MANAGEMENT LLC | ZODA FINANCIAL | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT
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)Upgrade to AdvisorCheck Premium
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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
28
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,350 |
| AUM (Assets Under Management) | $ 518,984,611 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
