Avi Stein has been Chief Financial Officer of EquityCompass Investment Management since March 2020, is a control person of the firm and directly owns under 5% of it.
Equitycompass Investment Management, LLC is a Baltimore, MD firm with $221M under management, 163 clients and 10 advisers across 6 offices, as of its March 2026 filing.
No adviser firm registrations are on Avi Stein’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 16 October 2023 |
| SIE | Securities Industry Essentials Examination | 12 May 2023 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- CRD
- 5835030
- Firm
- EquityCompass Investment Management · CRD 145420
- Role
- Chief Financial Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Avi Stein work?
Avi Stein has been Chief Financial Officer of Equitycompass Investment Management, LLC since March 2020, and is a control person of the firm.
Does Avi Stein have a current investment-adviser registration?
Avi Stein has a current broker registration and no current investment-adviser registration.
What exams has Avi Stein passed?
Avi Stein has passed 2 licensing exams: the SIE and Series 99TO. The earliest, the SIE, was passed in May 2023.
Is Avi Stein registered with FINRA?
Yes. Avi Stein has a current broker registration, under CRD 5835030.
Source: FINRA BrokerCheck
How can I verify Avi Stein’s record?
Search CRD 5835030 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Avi Stein’s full registration record.
Christopher MutascioVice President
Bobby ThomasVice President- Michael SperoChief Compliance Officer
Robert HagstromChief Investment Officer