Geoffrey Garfield has been an investment adviser representative at Compass Financial Management since November 2024, and is not listed among the firm’s executive officers or direct owners.
Compass Financial Management LLC is a Tampa, FL firm with $894M under management, 2,228 clients and 31 advisers across 37 offices, as of its May 2026 filing.
Geoffrey Garfield’s longest registration was 11 years at Altium Wealth Management LLC (2011–2022). Before joining Compass Financial Management in 2024, Geoffrey Garfield was registered through Altium Wealth Management LLC.
- – present · 1 yearDarien, CT · Adviser representative · Firm CRD 156345
- Altium Wealth Management LLC– · 11 yearsPurchase, NY · Adviser representative · Firm CRD 154719
Investment adviser representative registrations
Geoffrey Garfield is registered as an investment adviser representative in Connecticut, since November 2024.
- ConnecticutSince 18 November 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 10 November 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 23 January 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 October 1993 |
| Series 7 | General Securities Representative Examination | 27 September 1993 |
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Geoffrey McHale Garfield
- CRD
- 2394674
- Firm
- Compass Financial Management · CRD 156345
- Office
- Darien, CT
- Registration
- Investment adviser registration
- In the industry since
- August 2013
- Disciplinary history
- Not yet shown here · SEC record
Where does Geoffrey Garfield work?
Geoffrey Garfield is an investment adviser representative registered through Compass Financial Management LLC since November 2024, and is not listed among the firm’s executive officers or direct owners.
Is Geoffrey Garfield a financial advisor?
Yes. Geoffrey Garfield has a current investment-adviser registration in Connecticut, through Compass Financial Management since November 2024.
How many years of experience does Geoffrey Garfield have?
Geoffrey Garfield has 13 years in the financial industry, since August 2013, across 2 adviser firms.
What exams has Geoffrey Garfield passed?
Geoffrey Garfield has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in September 1993.
Where did Geoffrey Garfield work before Compass Financial Management?
Before Compass Financial Management, Geoffrey Garfield was registered through Altium Wealth Management LLC, March 2011 to June 2022.
Where is Geoffrey Garfield based?
Geoffrey Garfield’s registered office is in Darien, CT.
Is Geoffrey Garfield registered with FINRA?
No. Geoffrey Garfield has no current broker registration.
How can I verify Geoffrey Garfield’s record?
Search CRD 2394674 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Geoffrey Garfield’s full registration record.
- Matthew MarkowskiDirector/CCO/Managing Member
- Michael MarkowskiDirector/Managing Member
- Christopher MarkowskiDirector/Managing Member