Michael Ferrin has been an investment adviser representative at Compass Financial Management since June 2023, 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.
Michael Ferrin’s longest registration was 14 years at Kovack Advisors, Inc. (2008–2023). Before joining Compass Financial Management in 2023, Michael Ferrin was registered through Kovack Advisors, Inc.
- – present · 3 yearsClemmons, NC · Adviser representative · Firm CRD 156345
- Kovack Advisors, Inc.– · 14 yearsClemmons, NC · Adviser representative · Firm CRD 140808
Investment adviser representative registrations
Michael Ferrin is registered as an investment adviser representative in North Carolina, since June 2023.
- North CarolinaSince 7 June 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 20 May 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 April 2008 |
| Series 7 | General Securities Representative Examination | 4 August 2004 |
| Series 62 | Corporate Securities Limited Representative Examination | 18 January 2001 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 11 January 1988 |
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Corporate Securities Limited Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Michael Clarence Ferrin
- CRD
- 1774934
- Firm
- Compass Financial Management · CRD 156345
- Office
- Clemmons, NC
- Registration
- Investment adviser registration
- In the industry since
- April 1993
- Disciplinary history
- Not yet shown here · SEC record
Where does Michael Ferrin work?
Michael Ferrin is an investment adviser representative registered through Compass Financial Management LLC since June 2023, and is not listed among the firm’s executive officers or direct owners.
Is Michael Ferrin a financial advisor?
Yes. Michael Ferrin has a current investment-adviser registration in North Carolina, through Compass Financial Management since June 2023.
How many years of experience does Michael Ferrin have?
Michael Ferrin has 33 years in the financial industry, since April 1993, across 2 adviser firms.
What exams has Michael Ferrin passed?
Michael Ferrin has passed 6 licensing exams: the Series 6, Series 62, Series 7, Series 63, Series 65 and Series 6TO. The earliest, the Series 6, was passed in January 1988. FINRA credited Michael Ferrin with the SIE, which began in October 2018.
Where did Michael Ferrin work before Compass Financial Management?
Before Compass Financial Management, Michael Ferrin was registered through Kovack Advisors, Inc., June 2008 to June 2023.
Where is Michael Ferrin based?
Michael Ferrin’s registered office is in Clemmons, NC.
Is Michael Ferrin registered with FINRA?
No. Michael Ferrin has no current broker registration.
How can I verify Michael Ferrin’s record?
Search CRD 1774934 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Ferrin’s full registration record.
- Matthew MarkowskiDirector/CCO/Managing Member
- Michael MarkowskiDirector/Managing Member
- Christopher MarkowskiDirector/Managing Member