Steven Walstad has been an investment adviser representative at Compass Financial Management since December 2021, 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.
Steve Walstad is an Advisor with Compass Financial Management, LLC, based in Bloomington, MN. He has been President of an investment advisory firm in Bloomington since 1997, where he is also an Advisor and Chief Compliance Officer. He recently joined Compass as an Advisor and has set up a business continuation plan with Compass.
Steven Walstad’s longest registration was 10 years at Independent Investment Advisors Inc. (2013–2024). Before joining Compass Financial Management in 2021, Steven Walstad was registered through Independent Investment Advisors Inc.
- – present · 4 yearsBloomington, MN · Adviser representative · Firm CRD 156345
- Independent Investment Advisors Inc.– · 10 yearsBloomington, MN · Adviser representative · Firm CRD 165982
Investment adviser representative registrations
Steven Walstad is registered as an investment adviser representative in Minnesota, since December 2021.
- MinnesotaSince 16 December 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 15 August 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 18 July 1996 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Steven Craig Walstad
- CRD
- 1577424
- Firm
- Compass Financial Management · CRD 156345
- Office
- 8400 Normandal Lake Blvd #920, Bloomington, MN 55437
- Registration
- Investment adviser registration
- In the industry since
- April 1997
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compassfmllc.com
Where does Steven Walstad work?
Steven Walstad is an investment adviser representative registered through Compass Financial Management LLC since December 2021, and is not listed among the firm’s executive officers or direct owners.
Is Steven Walstad a financial advisor?
Yes. Steven Walstad has a current investment-adviser registration in Minnesota, through Compass Financial Management since December 2021.
How many years of experience does Steven Walstad have?
Steven Walstad has 29 years in the financial industry, since April 1997, across 2 adviser firms.
What exams has Steven Walstad passed?
Steven Walstad has passed 2 licensing exams: the Series 6 and Series 63. The earliest, the Series 6, was passed in July 1996.
Where is Steven Walstad based?
Steven Walstad’s registered office is in Bloomington, MN.
Is Steven Walstad registered with FINRA?
No. Steven Walstad has no current broker registration.
How can I verify Steven Walstad’s record?
Search CRD 1577424 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Walstad’s full registration record.
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