Clifford L. Malings

COMPASS FINANCIAL ADVISORS LLC

CHESTERTON, IN 46304

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CRD#: 5044575

Professional summary

Clifford Lee Malings, who also goes by Clifford L. Malings, Clifford Malings, is a registered financial advisor currently at COMPASS FINANCIAL ADVISORS LLC located in Chesterton, Indiana.

Clifford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Clifford has worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clifford L. Malings | Clifford Malings

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.

Ariel Solutions, LLC, owner, IN, wheelchair accessories, March 2018, 5hrs/week not during trading hours, not investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Lee Malings'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

December 14, 2005 - Present

COMPASS FINANCIAL ADVISORS LLC

Office #1: 160 Rail Road, Suite 2, Chesterton, IN 46304

RIA

CRD#: 109131

CHESTERTON, IN

Past

October 16, 2007 - May 27, 2011

FINTEGRA, LLC

CRD#: 16741

VALPARAISO, IN

Past

January 31, 2006 - October 16, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

VALPARAISO, IN

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 ADVISORS LLC

CRD#: 109131 / SEC#: 801-56002

RIA

Registered Investment Advisory firm - (11/30/1998 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.

Highlighted states indicate IAR registrations

IAR

Indiana
(12/14/2005)

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

Series 63

Date: 11/30/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/25/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 1/30/2006

General Securities Representative Examination

Current Firm

COMPASS FINANCIAL ADVISORS LLC

CRD#: 109131 / SEC#: 801-56002

RIA

Registered Investment Advisory firm - (11/30/1998 Approved)

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Contact information

Main Address

9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825

Mailing Address

Phone number

(260) 490-7878

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS FINANCIAL PART 2A BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	750
AUM (Assets Under Management)	$ 264,674,639

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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Firm Stability Insights

Clifford L. Malings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Lee Malings's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPASS FINANCIAL ADVISORS LLC

FINTEGRA, LLC

QUESTAR CAPITAL CORPORATION

Primary Firm SEC Registration

COMPASS FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/30/2005

Series 65

Date: 10/25/2005

Series 7

Date: 1/30/2006

Current Firm

COMPASS FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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