Kiley H. Wood
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kiley H. Wood, who also goes by Katherine Kiley Holmes, was a registered financial professional .
Kiley is a previously registered financial professional and started their career in finance in 2006. Kiley had worked at 1 firm and has passed the Series 63 and Series 65 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2006 - February 22, 2018
COMPASS FINANCIAL ADVISORS LLC
Primary Firm SEC Registration
COMPASS FINANCIAL ADVISORS LLC
CRD#: 109131 / SEC#: 801-56002
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMPASS FINANCIAL ADVISORS LLC
CRD#: 109131 / SEC#: 801-56002
Contact information
SEC notice filing (11 States and Territories)
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.
