Individual Firm
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MICHAEL JOHN MARKOWSKI
CRD#: 2671573
IA
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COMPASS FINANCIAL MANAGEMENT LLCCRD#: 156345 2422 W. Sunset Drive
Tampa, FL 33629
Tampa, FL 33629
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9/16/1997
Customer Dispute
Closed-No Action
8/28/1997
Customer Dispute
Closed-No Action
3/12/1997
Customer Dispute
Settled
State Registrations
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Florida 6/19/2013
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Registered with this firm since 7/26/2018
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/05/1999 - 12/11/2020 | BEAVERCREEK, OH | |
IA | 12/13/2005 - 01/12/2007 | DAYTON, OH | |
B | 05/22/1997 - 03/17/1999 | NEW YORK, NY | |
B | 02/09/1996 - 04/22/1997 | NEW YORK, NY |
NEW YORK, NY
05/22/1997 - 03/17/1999
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.