Radford E Brogden
CFP®Professional Summary
Radford E Brogden, CFP®, who also goes by Rad Brogden, is a registered financial advisor currently at COMPASS WEALTH MANAGEMENT LLC located in Midway, Utah. Radford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Radford has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rad Brogden
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
COMPASS ASSET MANAGEMENT LLC | MATTHES WILLIAM LEE | COMPASS WEALTH MANAGEMENT LLC | COMPASS ASSET MANAGEMENT, LLC
Contact Information
Main Address
10 Water Street, Guilford, CT 06437Phone Number
(203) 453-7000# of Employees
5SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
931AUM (Assets Under Management)
$682,519,106Similar Advisors
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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.
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Primary Firm SEC Registration
COMPASS ASSET MANAGEMENT LLC | MATTHES WILLIAM LEE | COMPASS WEALTH MANAGEMENT LLC | COMPASS ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(3/24/2021)
(10/17/2023)
(6/30/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Radford E Brogden's CRS (Customer Relationship Summary).
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