Richard Allison has been an investment adviser representative at Compass Financial Management since August 2026, 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.
Richard Allison’s longest registration is the current one, 18 years at Marian Financial Services, Inc. since 2008. Before joining Compass Financial Management in 2026, Richard Allison was registered through First Coast Planning, LLC and First Financial Advisors, LLC.
- – present · under a yearSaint Johns, FL · Adviser representative · Firm CRD 156345
- First Coast Planning, LLC– · 2 yearsJacksonville, FL · Adviser representative · Firm CRD 286180
- Marian Financial Services, Inc.Also current– present · 18 yearsSt. Johns, FL · Adviser representative · Firm CRD 141456
- First Financial Advisors, LLC– · 1 yearEasley, SC · Adviser representative · Firm CRD 134897
- Skadvisors, LLC– · 1 yearJacksonville, FL · Adviser representative · Firm CRD 133532
- Rick Johnson Family Office, LLC– · under a yearJacksonville, FL · Adviser representative · Firm CRD 132776
- Charles Schwab & Co., Inc.– · 4 yearsJacksonville, FL · Adviser representative · Firm CRD 5393
Investment adviser representative registrations
Richard Allison is registered as an investment adviser representative in 4 states. The first approvals date from October 2008; the most recent is Louisiana, in June 2024.
- CaliforniaSince 20 November 2020
- FloridaSince 28 October 2008
- LouisianaSince 3 June 2024
- TexasSince 10 November 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 9 December 2000 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 December 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 9 August 1996 |
| Series 24 | General Securities Principal Examination | 24 October 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 May 1988 |
| Series 7 | General Securities Representative Examination | 16 April 1988 |
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- 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
- Richard Mark Allison
- CRD
- 1813496
- Firm
- Compass Financial Management · CRD 156345
- Office
- Saint Johns, FL
- Registration
- Investment adviser registration
- In the industry since
- December 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Allison work?
Richard Allison is an investment adviser representative registered through Compass Financial Management LLC since August 2026, and is not listed among the firm’s executive officers or direct owners.
Is Richard Allison a financial advisor?
Yes. Richard Allison has a current investment-adviser registration in California, Florida, Louisiana and Texas, through Compass Financial Management since August 2026.
How many years of experience does Richard Allison have?
Richard Allison has 24 years in the financial industry, since December 2001, across 7 adviser firms.
What exams has Richard Allison passed?
Richard Allison has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 65, Series 10 and Series 9. The earliest, the Series 7, was passed in April 1988.
Where did Richard Allison work before Compass Financial Management?
Before Compass Financial Management, Richard Allison was registered through First Coast Planning, LLC, July 2017 to February 2020; First Financial Advisors, LLC, June 2007 to August 2008; Skadvisors, LLC, February 2006 to April 2007; Rick Johnson Family Office, LLC, September 2004 to March 2005; Charles Schwab & Co., Inc., August 2000 to August 2004.
Where is Richard Allison based?
Richard Allison’s registered office is in Saint Johns, FL.
Is Richard Allison registered with FINRA?
No. Richard Allison has no current broker registration.
How can I verify Richard Allison’s record?
Search CRD 1813496 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Allison’s full registration record.
- Matthew MarkowskiDirector/CCO/Managing Member
- Michael MarkowskiDirector/Managing Member
- Christopher MarkowskiDirector/Managing Member