Radford E. Brogden

COMPASS WEALTH MANAGEMENT LLC

Midway, UT

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CRD#: 5335401

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rad Brogden

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Radford E Brogden'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

March 24, 2021 - Present

COMPASS WEALTH MANAGEMENT LLC

RIA

CRD#: 7691

VIENNA, VA

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 WEALTH MANAGEMENT LLC

COMPASS ASSET MANAGEMENT LLC | MATTHES WILLIAM LEE | COMPASS WEALTH MANAGEMENT LLC | COMPASS ASSET MANAGEMENT, LLC

CRD#: 106289 / SEC#: 801-53805

RIA

Registered Investment Advisory firm - (2/14/1997 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

Connecticut
(3/24/2021)

IAR

Utah
(10/17/2023)

IAR

Virginia
(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

State Security Law Exam

IAR

Series 66

Date: 11/16/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2007

General Securities Representative Examination

Current Firm

COMPASS WEALTH MANAGEMENT LLC

COMPASS ASSET MANAGEMENT LLC | MATTHES WILLIAM LEE | COMPASS WEALTH MANAGEMENT LLC | COMPASS ASSET MANAGEMENT, LLC

CRD#: 106289 / SEC#: 801-53805

RIA

Registered Investment Advisory firm - (2/14/1997 Approved)

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Contact information

Main Address

10 Water Street, Guilford, CT 06437

Mailing Address

Phone number

(203) 453-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS ADV2A 032021 (10/8/2025)

COMPASS ADV2A APPENDIX 1 032021 (10/8/2025)

Regulatory assets under management

Total Number of Accounts	895
AUM (Assets Under Management)	$ 609,543,910

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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Radford E. Brogden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Radford E Brogden's CRS (Customer Relationship Summary).

Certified licenses

Experience

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RBC CAPITAL MARKETS, LLC

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MORGAN STANLEY

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MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

COMPASS WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/2007

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2007

Current Firm

COMPASS WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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