Joseph Dise has been an investment adviser representative at Compass Financial Management since August 2020, 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.
Joe Dise is Founder of Dise Wealth Management and is listed among the advisors on the Compass Financial Management website. He started in the business 31 years ago with Merrill Lynch in Stamford, CT, and spent the next 11 years at two wirehouses and a regional bank before opening his own practice 20 years ago.
Joseph Dise’s longest registration was 13 years at Dise Wealth Management Incorporated (2007–2020). Before joining Compass Financial Management in 2020, Joseph Dise was registered through Dise Wealth Management Incorporated and Wachovia Securities, LLC.
- – present · 6 yearsTreasure Island, FL · Adviser representative · Firm CRD 156345
- Dise Wealth Management Incorporated– · 13 yearsTreasure Island, FL · Adviser representative · Firm CRD 143188
- Wachovia Securities, LLC– · 3 yearsDanbury, CT · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · 2 yearsDanbury, CT · Adviser representative · Firm CRD 7471
Investment adviser representative registrations
Joseph Dise is registered as an investment adviser representative in Florida, since August 2020.
- FloridaSince 28 August 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 26 October 1999 |
| Series 24 | General Securities Principal Examination | 12 February 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 January 1993 |
| Series 7 | General Securities Representative Examination | 4 January 1993 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph William Dise
- CRD
- 2299007
- Firm
- Compass Financial Management · CRD 156345
- Office
- 12200 5th Street E, Treasure Island, FL 33706
- Registration
- Investment adviser registration
- In the industry since
- January 1993
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compassfmllc.com
Where does Joseph Dise work?
Joseph Dise is an investment adviser representative registered through Compass Financial Management LLC since August 2020, and is not listed among the firm’s executive officers or direct owners.
Is Joseph Dise a financial advisor?
Yes. Joseph Dise has a current investment-adviser registration in Florida, through Compass Financial Management since August 2020.
How many years of experience does Joseph Dise have?
Joseph Dise has 33 years in the financial industry, since January 1993, across 4 adviser firms.
What exams has Joseph Dise passed?
Joseph Dise has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 65. The earliest, the Series 7, was passed in January 1993.
Where did Joseph Dise work before Compass Financial Management?
Before Compass Financial Management, Joseph Dise was registered through Wachovia Securities, LLC, July 2003 to March 2007; Prudential Securities Incorporated, October 2000 to July 2003.
Where is Joseph Dise based?
Joseph Dise’s registered office is in Treasure Island, FL.
Is Joseph Dise registered with FINRA?
No. Joseph Dise has no current broker registration.
How can I verify Joseph Dise’s record?
Search CRD 2299007 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Dise’s full registration record.
- Matthew MarkowskiDirector/CCO/Managing Member
- Michael MarkowskiDirector/Managing Member
- Christopher MarkowskiDirector/Managing Member