Carolyn Matthes, financial advisor Guilford CT
93 score

Carolyn Matthes

CRD Number: 1357299
Current Firm: Compass Asset Management, LLC

Carolyn Matthes (CRD# 1357299) is an Investment Advisor Representative working at Compass Asset Management, LLC in Guilford, CT and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Westport Resources Investment Services, Inc. Guilford, CT Feb 1997 - Current 19
Compass Asset Management Guilford, CT Feb 1997 - Current 19
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1989
S65 NASAA Investment Advisors Law Examination Oct 1994
Contact Info for Carolyn A. Matthes
Phone Number: 203-453-7000
Firm Website: http://compassam.biz
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    238
    MILLIONS
  • Total Number of Accounts
    510
    ACCOUNTS
  • Average Account Value
    $466,667
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Publication of periodicals or newsletters
Types of Clients
Registered States

CT

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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