Kathryn Dennen has been an investment adviser representative at Compass Financial Management since December 2020, and is not listed among the firm’s executive officers or direct owners. Kathryn Dennen holds a Bachelor of Arts in English from Fairfield University.
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.
Kathryn Dennen is Vice President of Compass Financial Management. She helps clients identify and attain their financial goals through planning and diversified investing, and specializes in retirement planning, reviewing options with clients to create a customized strategy for meeting their retirement income needs. She is also a Divisional Speaker for the Association of Financial Educators.
Kathryn Dennen’s longest registration is the current one, 5 years at Compass Financial Management since 2020. Before joining Compass Financial Management in 2020, Kathryn Dennen was registered through Capital Analysts and Lincoln Investment.
- – present · 5 yearsOxford, CT · Adviser representative · Firm CRD 156345
- Capital Analysts– · 4 yearsTorrington, CT · Adviser representative · Firm CRD 162200
- Lincoln Investment– · 4 yearsTorrington, CT · Adviser representative · Firm CRD 519
Investment adviser representative registrations
Kathryn Dennen is registered as an investment adviser representative in Connecticut, since December 2020.
- ConnecticutSince 9 December 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 21 March 2016 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 December 2014 |
| Series 7 | General Securities Representative Examination | 13 November 2013 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kathryn Aiksnoras Dennen
- CRD
- 6174969
- Firm
- Compass Financial Management · CRD 156345
- Office
- Oxford, CT
- Registration
- Investment adviser registration
- In the industry since
- January 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compassfmllc.com
Where does Kathryn Dennen work?
Kathryn Dennen is an investment adviser representative registered through Compass Financial Management LLC since December 2020, and is not listed among the firm’s executive officers or direct owners.
Is Kathryn Dennen a financial advisor?
Yes. Kathryn Dennen has a current investment-adviser registration in Connecticut, through Compass Financial Management since December 2020.
How many years of experience does Kathryn Dennen have?
Kathryn Dennen has 12 years in the financial industry, since January 2014, across 3 adviser firms.
What exams has Kathryn Dennen passed?
Kathryn Dennen has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in November 2013. FINRA credited Kathryn Dennen with the SIE, which began in October 2018.
Where did Kathryn Dennen work before Compass Financial Management?
Before Compass Financial Management, Kathryn Dennen was registered through Capital Analysts, April 2016 to December 2020; Lincoln Investment, April 2016 to December 2020.
Where is Kathryn Dennen based?
Kathryn Dennen’s registered office is in Oxford, CT.
Is Kathryn Dennen registered with FINRA?
No. Kathryn Dennen has no current broker registration.
How can I verify Kathryn Dennen’s record?
Search CRD 6174969 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kathryn Dennen’s full registration record.
- Matthew MarkowskiDirector/CCO/Managing Member
- Michael MarkowskiDirector/Managing Member
- Christopher MarkowskiDirector/Managing Member