William Ciccone has been Managing Member / Managing Partner of Compass Private Wealth Group since November 2021, is a control person of the firm and directly owns between 50% and 75% of it.
Compass Private Wealth Group LLC is a Short Hills, NJ firm with $113M under management, 80 clients and 3 advisers in one office, as of its June 2026 filing.
William Ciccone is Co-Founder of Compass Private Wealth. He founded the firm after nearly two decades of experience at Merrill Lynch and J.P. Morgan. His work focuses on the needs of high-net-worth individuals, including executive compensation strategies, tax optimization and estate planning.
William Ciccone’s longest registration is the current one, 4 years at Compass Private Wealth Group since 2021. Before joining Compass Private Wealth Group in 2021, William Ciccone was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and J.P. Morgan Securities LLC.
- – present · 4 yearsShort Hills, NJ · Adviser representative · Firm CRD 316785
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsFlorham Park, NJ · Adviser representative · Firm CRD 7691
- J.P. Morgan Securities LLC– · 4 yearsWestfield, NJ · Adviser representative · Firm CRD 79
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 2 yearsBridgewater, NJ · Adviser representative · Firm CRD 7691
Professional designations
Listed by Compass Private Wealth Group
- Certified Private Wealth Advisor® (CPWA®)
Investment adviser representative registrations
William Ciccone is registered as an investment adviser representative in New Jersey, since November 2021.
- New JerseySince 9 November 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 30 April 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 June 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 September 2010 |
| Series 7 | General Securities Representative Examination | 13 September 2010 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- William Brett Ciccone
- CRD
- 5822448
- Firm
- Compass Private Wealth Group · CRD 316785
- Role
- Managing Member / Managing Partner
- Office
- 51 JFK PARKWAY, 1ST FL W, SUITE 107, Short Hills, NJ 07078
- Registration
- Investment adviser registration
- In the industry since
- October 2010
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compasspw.com
Where does William Ciccone work?
William Ciccone has been Managing Member / Managing Partner of Compass Private Wealth Group LLC since November 2021, and is a control person of the firm.
Is William Ciccone a financial advisor?
Yes. William Ciccone has a current investment-adviser registration in New Jersey, through Compass Private Wealth Group since November 2021.
How many years of experience does William Ciccone have?
William Ciccone has 16 years in the financial industry, since October 2010, across 3 adviser firms.
What exams has William Ciccone passed?
William Ciccone has passed 4 licensing exams: the Series 7, Series 63, Series 66 and Series 7TO. The earliest, the Series 7, was passed in September 2010. FINRA credited William Ciccone with the SIE, which began in October 2018.
Where did William Ciccone work before Compass Private Wealth Group?
Before Compass Private Wealth Group, William Ciccone was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, September 2018 to November 2021; J.P. Morgan Securities LLC, November 2013 to September 2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated, June 2011 to November 2013.
Where is William Ciccone based?
William Ciccone’s registered office is in Short Hills, NJ.
Is William Ciccone registered with FINRA?
No. William Ciccone has no current broker registration.
How can I verify William Ciccone’s record?
Search CRD 5822448 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Ciccone’s full registration record.
