Expert Review

Charlie Kelley: Is He Facing Hidden Fees, Disclosures, Lawsuits? The Truth Exposed! (Update 2024)

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Who is Charlie Kelley (CRD#: 2660411)?Everything you need to know about Charlie Kelley and their accolades

The founder, principal, and senior portfolio manager at Compass Capital Management is Charlie Kelley, CFA.

Since starting his career in the financial sector in 1978, Charlie launched Compass. He serves on Compass’ investment committee, which is in charge of the firm’s fixed-income and equities portfolios. Charlie served as vice president and senior portfolio manager at Norwest, now a division of Wells Fargo, from 1978 to 1988.

While there, he specialized in overseeing the portfolios of regional non-profit organizations, which he managed before creating Compass. From Gustavus Adolphus College, Charlie graduated with a BA in business, accounting, and economics. He currently participates in the college’s endowment investment committee and actively supports the economics and management programs. As a member of the Minnesota CFA Society and a Chartered Financial Analyst, Charlie has earned the title.

Outside of Compass, he serves on the investment committee of Project for Pride in Living.

In this article, we will go deep into Charlie Kelley’s past, discovering hidden disclosures and analyzing the consequences of the lawsuits.

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About Compass Capital ManagementHistory, achievements, leadership, lawsuits, & disputes

They take a round-table approach, in contrast to the majority of wealth management companies, banks, and brokers who report to a single chief investment officer. Their skilled six-member portfolio investing team carefully examines each Compass Capital investment before choosing one by one. Clients, staff, and owners follow the same investment discipline. Every member of our staff is invested in the success of their clients.

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They think more stability, consistency, and superior long-term returns will come from a focused investment team, premium investments, and a disciplined strategy. Learn why their customers have such faith in their financial prospects and why their portfolio managers are so passionate about what they do.

Investment Strategies of Compass Capital Management

A crucial choice is who you will associate with for investments. They want to be certain that you are completely behind us and that they have the appropriate kind of chemistry. They make it a point to get to know you and comprehend your particular requirements, issues, and future goals. They’ll listen intently while you speak. Go at your own pace. Interrogate us. Their connection will function better as they get to know and understand one another better.

When you’re ready to engage with them, they’ll start by evaluating your financial condition in light of your goals, risk tolerance, and current situation. To help you reach your objectives, They’ll create a unique asset allocation plan and formalize it with an investment policy statement. To ensure clarity and agreement on the vision, they’ll go over the plan in depth with you regularly. They’ll also talk about your changing goals and adjust your asset allocation as necessary.

Aims of Compass Capital Management

Before taxes and inflation, they want to see real portfolio value increase over time. For long-term capital growth, they look to invest in premium equities at competitive prices. They also look to buy premium bonds at competitive prices for principal protection, liquidity, and predictable cash flow.

Giving up speculative short-term gains in favor of higher long-term returns requires discipline and experience. Our effective investment approach is based on discipline, which is guided by experience. They aid in the creation of long-term wealth while safeguarding principal by selecting investments that clients may keep over time.

Stocks for Growth

Only the 25 that receive our greatest level of confidence among the thousands of firms they assess are included in the Compass portfolio. They look for expanding businesses with solid cash flows and balance sheets that will outperform the market regardless of the state of the economy.

They aim to create portfolios with lower risk by choosing stocks with a varied product and regional sales mix. They examine each company’s management team in greater detail, looking for capable, strong executives who have a track record of guiding their organizations through geopolitical upheaval and changing business environments.

Bonds for stability and preservation

Bonds help people maintain wealth and give your portfolio stability. They simply decline to invest where other companies do in bond mutual funds or high-yield bonds. Regardless of market situations, they only invest in high-quality bonds with specific maturity dates to offer a reliable income.

What is SEC?

The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate fairly and orderly, and facilitate capital formation.

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Charlie Kelley Disclosures: BrokerCheck, FINRA, And SEC ReportsEvery complaint, disclosure, and litigation against Charlie Kelley

The brokerCheck report of Charlie Kelley includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, and arbitration awards as well as disclosure events.

20/12/2023 Update
As of now, Charlie Kelley has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.

No disclosures have been mentioned about Charlie Kelley.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any conflicts in the past.

FINRA’s BrokerCheck

individual_2660411.pdf (sec.gov)

SEC Litigations & Forms

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Source: Charlie Kelley – SEC Site Search Search Results

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Charlie Kelley Lawsuits, Legal Battles, & DisputesActive database of all lawsuit documents (subject to availability) against Charlie Kelley

Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, Trellis.law, and Law360. If Charlie Kelley has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Charlie Kelley which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Charlie Kelley on these websites, you can contact the local authorities and check if they have a physical copy of any cases.

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Charlie Kelley Complaints, Class Action Lawsuits & Legal BattlesRead all class action lawsuits and SEC complaints against Charlie Kelley (if available)

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Charlie Kelley using the websites down below:

You can contact the law firms mentioned above if facing issues with Charlie Kelley or any financial advisor.

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Better Alternatives To Charlie Kelley (By Experts):Find the top 3 alternatives to Charlie Kelley

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
You can check out the top 10 financial advisors in the U.S. to learn more.
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Manages Assets Worth

  • $714,587,898,072

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors
  • Publication of periodicals
1625686851535

Manages Assets Worth

  • $173,418,270,044

Services

  • Financial planning
  • Portfolio management
  • Portfolio assessment
Screenshot 2023 05 23 at 11.45.48 PM

Manages Assets Worth

  • $46,803,858,104

Services

  • Portfolio management

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