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Joseph William Dise

Compass Financial Management LLC

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About Joseph William Dise

Joseph Dise is a financial advisor with over 20 years of experience in the industry. Joseph currently works with Compass Financial Management LLC and is registered to provide investment advice in Florida. Joseph has previously worked with Wachovia Securities, LLC, Prudential Securities Incorporated, Infinex Investments, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Joseph has experience providing financial planning and portfolio management services to individuals, corporations, and pension and profit-sharing plans. Joseph has a strong track record of success in helping clients achieve their financial goals.

Firm Information

Joseph Dise is currently registered with Compass Financial Management LLC. Compass Financial Management LLC is an investment advisor registered with the SEC and located in TAMPA, FL. The firm manages approximately $409,358,130 in assets and has 13 licensed agents, 20 investment advisor representatives, and 4 registered representatives. The firm provides financial planning, pension consulting, and portfolio management for individuals. Compass Financial Management LLC serves high-net-worth individuals, corporations, and pension and profit-sharing plans.
Compass Financial Management LLC

2422 W. SUNSET DRIVE

TAMPA, FL 33629

$409.36M

Assets Under Management

Not reported

Total Clients

17

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Joseph Dise’s Registration & Firm History

FL

08/28/2020 - Present

Compass Financial Management LLC (Treasure Island FL)

CT

07/01/2003 - 03/20/2007

WACHOVIA SECURITIES, LLC (DANBURY CT)

NY

10/06/2000 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

CT

10/05/1995 - 11/06/2000

INFINEX INVESTMENTS, INC. (MERIDEN CT)

NY

01/06/1993 - 10/03/1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 10/26/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/15/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/12/1996

Series 24 - General Securities Principal Examination

BC

Issued 01/04/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There is public disclosure for Joseph William Dise. Review regulatory record here.
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