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KD

Kathryn A. Dennen

COMPASS FINANCIAL MANAGEMENT LLC
Oxford, CT
Some features on this profile are disabled
CRD#: 6174969
KD

Professional summary

Kathryn Aiksnoras Dennen, who also goes by Kathryn Jean Aiksnoras, Kathryn J Dennen, Kathy J Dennen, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Oxford, Connecticut.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Kathryn has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathryn Jean Aiksnoras | Kathryn J Dennen | Kathy J Dennen

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 Kathryn Aiksnoras Dennen'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 9, 2020 - Present

COMPASS FINANCIAL MANAGEMENT LLC

RIA
CRD#: 156345
Oxford, CT
Past

December 6, 2019 - December 23, 2019

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
TORRINGTON, CT
Past

April 12, 2016 - December 9, 2020

CAPITAL ANALYSTS

RIA
CRD#: 162200
Torrington, CT
Past

April 4, 2016 - December 9, 2020

LINCOLN INVESTMENT

RIA
CRD#: 519
TORRINGTON, CT
Past

December 1, 2015 - December 9, 2019

LINCOLN INVESTMENT

BD
CRD#: 519
TORRINGTON, CT
Past

June 18, 2014 - November 25, 2015

NYLIFE SECURITIES LLC

BD
CRD#: 5167
STRATFORD, CT
Past

November 13, 2013 - April 30, 2014

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
GUILFORD, CT

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.

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
(12/9/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/21/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/17/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/13/2013
General Securities Representative 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#: 156345Oxford, CT

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