Tara Sanders has been Managing Member / CEO / CCO of Compass Financial Advisory Services since September 2021, is a control person of the firm and directly owns between 50% and 75% of it.
Compass Financial Advisory Services, LLC is an Ormond Beach, FL firm with $527M under management, 1,031 clients and 6 advisers in one office, as of its August 2026 filing.
Tara Sanders is Chief Executive Officer and Chief Compliance Officer of Compass Financial, and an investment adviser representative of Compass Financial Advisory Services, LLC. She has worked in the financial services industry since 1994, beginning her career at Merrill Lynch. She is involved in oversight of the registered investment adviser and in the ongoing financial planning needs of the firm's clients.
Tara Sanders’ longest registration was 8 years at Questar Asset Management, Inc. (2009–2017). Before joining Compass Financial Advisory Services in 2022, Tara Sanders was registered through Brokers Financial and Questar Asset Management, Inc.
- – present · 4 yearsOrmond Beach, FL · Adviser representative · Firm CRD 316843
- Brokers Financial– · 4 yearsOrmond Beach, FL · Adviser representative · Firm CRD 139627
- Questar Asset Management, Inc.– · 8 yearsOrmond Beach, FL · Adviser representative · Firm CRD 133358
- Intersecurities, Inc.– · 4 yearsOrmond Beach, FL · Adviser representative · Firm CRD 16164
- Nsa Securities Corporation– · under a yearOrmond Beach, FL · Adviser representative · Firm CRD 38472
- Wachovia Securities, LLC– · under a yearDaytona Beach, FL · Adviser representative · Firm CRD 19616
- Merrill Lynch Pierce Fenner & Smith Inc.– · 7 yearsWest Palm Beach, FL · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Tara Sanders is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from February 2022; the most recent is Texas, in December 2023.
- FloridaSince 7 February 2022
- TexasResidentSince 14 December 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 17 April 2003 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 15 April 2003 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 December 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 December 1994 |
| Series 7 | General Securities Representative Examination | 6 December 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Tara Ashley Sanders
- CRD
- 2546811
- Firm
- Compass Financial Advisory Services · CRD 316843
- Role
- Managing Member / CEO / CCO
- Office
- 880 AIRPORT ROAD, SUITE 112A, Ormond Beach, FL 32174
- Registration
- Investment adviser registration
- In the industry since
- February 1995
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compassfinancial.us
Where does Tara Sanders work?
Tara Sanders has been Managing Member / CEO / CCO of Compass Financial Advisory Services, LLC since September 2021, and is a control person of the firm.
Is Tara Sanders a financial advisor?
Yes. Tara Sanders has a current investment-adviser registration in Florida and Texas, through Compass Financial Advisory Services since February 2022.
How many years of experience does Tara Sanders have?
Tara Sanders has 31 years in the financial industry, since February 1995, across 7 adviser firms.
What exams has Tara Sanders passed?
Tara Sanders has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 9 and Series 10. The earliest, the Series 7, was passed in December 1994. FINRA credited Tara Sanders with the SIE, which began in October 2018.
Where did Tara Sanders work before Compass Financial Advisory Services?
Before Compass Financial Advisory Services, Tara Sanders was registered through Brokers Financial, December 2017 to February 2022; Questar Asset Management, Inc., March 2009 to November 2017; Intersecurities, Inc., June 2004 to January 2009; Nsa Securities Corporation, September 2003 to June 2004; Wachovia Securities, LLC, September 2002 to September 2003; Merrill Lynch Pierce Fenner & Smith Inc., December 1994 to July 2002.
Where is Tara Sanders based?
Tara Sanders’ registered office is in Ormond Beach, FL.
Is Tara Sanders registered with FINRA?
No. Tara Sanders has no current broker registration.
How can I verify Tara Sanders’ record?
Search CRD 2546811 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tara Sanders’ full registration record.