Radford Brogden has been an investment adviser representative at Compass Wealth Management since March 2021, and is not listed among the firm’s executive officers or direct owners. Radford Brogden holds an Undergraduate degree in finance and marketing from Purdue University and a Degree in financial planning from Georgetown University.
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.
Radford Brogden is Head of Financial Planning of Compass Wealth Management. He joined Compass in 2020 and has 20 years of wealth management experience, after working for multiple large investment firms. He takes a holistic view of clients' financial picture, focusing on assets and liabilities, insurance, estate planning and tax issues.
Radford Brogden’s longest registration was 8 years at RBC Capital Markets, LLC (2012–2020). Before joining Compass Wealth Management in 2021, Radford Brogden was registered through RBC Capital Markets, LLC and Morgan Stanley.
- – present · 5 yearsMidway, UT · Adviser representative · Firm CRD 106289
- RBC Capital Markets, LLC– · 8 yearsMcLean, VA · Adviser representative · Firm CRD 31194
- Morgan Stanley– · 1 yearWashington, DC · Adviser representative · Firm CRD 149777
- Lara, Shull & May, LLC– · 1 yearFalls Church, VA · Adviser representative · Firm CRD 145589
- Morgan Stanley Smith Barney LLC– · under a yearWashington, DC · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · under a yearWashington, DC · Adviser representative · Firm CRD 8209
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 1 yearVienna, VA · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Radford Brogden is registered as an investment adviser representative in 3 states. The first approvals date from March 2021; the most recent is Utah, in October 2023.
- ConnecticutSince 24 March 2021
- UtahSince 17 October 2023
- VirginiaSince 30 June 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 16 November 2007 |
| Series 7 | General Securities Representative Examination | 24 September 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Radford E Brogden
- CRD
- 5335401
- Firm
- Compass Wealth Management · CRD 106289
- Office
- Midway, UT
- Registration
- Investment adviser registration
- In the industry since
- January 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compasswealthmanagement.com
Where does Radford Brogden work?
Radford Brogden is an investment adviser representative registered through Compass Wealth Management LLC since March 2021, and is not listed among the firm’s executive officers or direct owners.
Is Radford Brogden a financial advisor?
Yes. Radford Brogden has a current investment-adviser registration in Connecticut, Utah and Virginia, through Compass Wealth Management since March 2021.
How many years of experience does Radford Brogden have?
Radford Brogden has 18 years in the financial industry, since January 2008, across 6 adviser firms.
What exams has Radford Brogden passed?
Radford Brogden has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2007. FINRA credited Radford Brogden with the SIE, which began in October 2018.
Where did Radford Brogden work before Compass Wealth Management?
Before Compass Wealth Management, Radford Brogden was registered through RBC Capital Markets, LLC, November 2012 to December 2020; Morgan Stanley, April 2011 to November 2012; Lara, Shull & May, LLC, March 2010 to March 2011; Morgan Stanley Smith Barney LLC, June 2009 to March 2010; Morgan Stanley & Co. Incorporated, March 2009 to June 2009; Merrill Lynch, Pierce, Fenner & Smith Incorporated, December 2007 to March 2009.
Where is Radford Brogden based?
Radford Brogden’s registered office is in Midway, UT.
Is Radford Brogden registered with FINRA?
No. Radford Brogden has no current broker registration.
How can I verify Radford Brogden’s record?
Search CRD 5335401 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Radford Brogden’s full registration record.
