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MW

Matthew K. Wilkes

Some features on this profile are disabled
CRD#: 5409004
MW

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.

Matthew Kenneth Wilkes, who also goes by Matthew Wilkes, was a registered financial professional .

Matthew is a previously registered financial professional and started their career in finance in 2007. Matthew had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Matthew Wilkes

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 27, 2024 - June 10, 2025

COMPASS FINANCIAL MANAGEMENT LLC

RIA
CRD#: 156345
Franklin, TN
Past

January 4, 2024 - December 31, 2025

GREENSVIEW WEALTH MANAGEMENT

RIA
CRD#: 297321
FRANKLIN, TN
Past

April 4, 2019 - October 30, 2023

TRUSTFIRST

BD
CRD#: 39057
KNOXVILLE, TN
Past

August 8, 2018 - December 31, 2023

GREENSVIEW WEALTH MANAGEMENT

RIA
CRD#: 297321
FRANKLIN, TN
Past

June 21, 2017 - June 21, 2017

FSIC

RIA
CRD#: 37813
Chicago, IL
Past

June 21, 2017 - September 12, 2018

FSIC

BD
CRD#: 37813
Chicago, IL
Past

June 20, 2017 - November 12, 2018

UNITED ADVISORS SERVICES, LLC

RIA
CRD#: 150080
Chicago, IL
Past

July 31, 2015 - June 22, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
CHICAGO, IL
Past

July 31, 2015 - June 22, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
CHICAGO, IL
Past

March 25, 2013 - August 4, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHICAGO, IL
Past

March 25, 2013 - August 4, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHICAGO, IL
Past

August 30, 2010 - March 26, 2013

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
BRANDON, FL
Past

November 13, 2009 - March 26, 2013

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
BRANDON, FL
Past

March 23, 2009 - November 13, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CHICAGO, IL
Past

September 14, 2007 - March 23, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NORTHBROOK, IL

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/27/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/26/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/12/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/13/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/30/2016
General Securities Principal Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

COMPASS FINANCIAL MANAGEMENT ADV PART 2A 3/19/2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts1,350
AUM (Assets Under Management)$ 518,984,611

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.

Company Information

COMPASS FINANCIAL MANAGEMENT LLC

CRD#: 156345

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