William Matthes has been an investment adviser representative at Compass Wealth Management since June 2002, and is not listed among the firm’s executive officers or direct owners.
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.
William Matthes’ longest registration is the current one, 24 years at Compass Wealth Management since 2002.
- Westport Resources Management Inc– · 7 yearsWestport, CT · Adviser representative · Firm CRD 105306
- – present · 24 yearsGuilford, CT · Adviser representative · Firm CRD 106289
Investment adviser representative registrations
William Matthes is registered as an investment adviser representative in Connecticut, since June 2002.
- ConnecticutSince 24 June 2002
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 31 August 1994 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 2 August 1988 |
| Series 3 | National Commodity Futures Examination | 4 September 1987 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 June 1983 |
| Series 7 | General Securities Representative Examination | 21 May 1983 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- William Lee Matthes
- CRD
- 1127116
- Firm
- Compass Wealth Management · CRD 106289
- Office
- 10 WATER ST,, Guilford, CT 06437
- Registration
- Investment adviser registration
- In the industry since
- June 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does William Matthes work?
William Matthes is an investment adviser representative registered through Compass Wealth Management LLC since June 2002, and is not listed among the firm’s executive officers or direct owners.
Is William Matthes a financial advisor?
Yes. William Matthes has a current investment-adviser registration in Connecticut, through Compass Wealth Management since June 2002.
How many years of experience does William Matthes have?
William Matthes has 24 years in the financial industry, since June 2002, across 2 adviser firms.
What exams has William Matthes passed?
William Matthes has passed 5 licensing exams: the Series 7, Series 63, Series 3, Series 8 and Series 65. The earliest, the Series 7, was passed in May 1983. FINRA credited William Matthes with the SIE, which began in October 2018.
Where is William Matthes based?
William Matthes’ registered office is in Guilford, CT.
Is William Matthes registered with FINRA?
No. William Matthes has no current broker registration.
How can I verify William Matthes’ record?
Search CRD 1127116 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Matthes’ full registration record.
