Carolyn Matthes has been an investment adviser representative at Compass Wealth Management since April 1997, and is not listed among the firm’s executive officers or direct owners.
Compass Wealth Management LLC is a Guilford, CT firm with $683M under management, 375 clients and 4 advisers across 3 offices, as of its February 2026 filing.
Carolyn Matthes is Co-Founder and Senior Portfolio Manager of Compass Wealth Management. She has over 30 years of experience in the financial markets. Before co-founding Compass, Matthes began a career at Kidder Peabody and Co. in 1985 and later became a Vice President of Investments at PaineWebber, Inc. in the Preferred Portfolio Management Program.
- – present · 29 yearsGuilford, CT · Adviser representative · Firm CRD 106289
Investment adviser representative registrations
Carolyn Matthes is registered as an investment adviser representative in Connecticut, since April 1997.
- ConnecticutSince 17 April 1997
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 28 October 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 January 1989 |
| Series 7 | General Securities Representative Examination | 17 August 1985 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Carolyn Ann Matthes
- CRD
- 1357299
- Firm
- Compass Wealth Management · CRD 106289
- Office
- 10 WATER ST., Guilford, CT 06437
- Registration
- Investment adviser registration
- In the industry since
- April 1997
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compasswealthmanagement.com
Where does Carolyn Matthes work?
Carolyn Matthes is an investment adviser representative registered through Compass Wealth Management LLC since April 1997, and is not listed among the firm’s executive officers or direct owners.
Is Carolyn Matthes a financial advisor?
Yes. Carolyn Matthes has a current investment-adviser registration in Connecticut, through Compass Wealth Management since April 1997.
How many years of experience does Carolyn Matthes have?
Carolyn Matthes has 29 years in the financial industry, since April 1997, across 1 adviser firm.
What exams has Carolyn Matthes passed?
Carolyn Matthes has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in August 1985. FINRA credited Carolyn Matthes with the SIE, which began in October 2018.
Where is Carolyn Matthes based?
Carolyn Matthes’ registered office is in Guilford, CT.
Is Carolyn Matthes registered with FINRA?
No. Carolyn Matthes has no current broker registration.
How can I verify Carolyn Matthes’ record?
Search CRD 1357299 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Carolyn Matthes’ full registration record.
