Brian W. Compton

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CRD#: 6272821

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.

Brian W Compton, who also goes by Brian Woodruff Compton, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2014. Brian had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Woodruff Compton

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.

I am the owner of Highrise Petcare LLC which is a dog walking business in Chicago. We are not currently operating because of the pandemic and are unlikely to reopen. I devote zero hours per month to Highrise.

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

July 9, 2021 - June 4, 2024

STONEGATE INVESTMENT GROUP, LLC

RIA

CRD#: 314889

BIRMINGHAM, AL

Past

May 12, 2021 - July 20, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BIRMINGHAM, AL

Past

April 22, 2021 - July 20, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BIRMINGHAM, AL

Past

January 3, 2014 - February 3, 2015

MORGAN STANLEY & CO. LLC

CRD#: 8209

CHICAGO, 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".

STONEGATE INVESTMENT GROUP, LLC

ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC

CRD#: 314889 / SEC#: 801-121509

RIA

Registered Investment Advisory firm - (6/15/2021 Approved)

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.

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: 5/11/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/28/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/22/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/25/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/2014

General Securities Representative Examination

Current Firm

STONEGATE INVESTMENT GROUP, LLC

ISLAND WAY INVESTMENT GROUP, LLC | STONEGATE INVESTMENT GROUP, LLC

CRD#: 314889 / SEC#: 801-121509

RIA

Registered Investment Advisory firm - (6/15/2021 Approved)

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Contact information

Main Address

2005 Stonegate Trail Suite # 101, Birmingham, AL 35242

Mailing Address

Phone number

(205) 963-0840

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STONEGATE DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (2/24/2025)

Regulatory assets under management

Total Number of Accounts	2,768
AUM (Assets Under Management)	$ 5,670,936,072

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/02/2025	Cover Page	Report
10/10/2024	Cover Page	Report
12/12/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Brian W. Compton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

STONEGATE INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2021

Series 63

Date: 1/28/2014

Series 7TO

Date: 4/22/2021

SIE

Date: 3/25/2021

Series 7

Date: 1/3/2014

Current Firm

STONEGATE INVESTMENT GROUP, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STONEGATE INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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