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RIA / WealthAdvisorChartered Financial Consultant23 years in industry

STEVEN JAY LONDON

Advisor at COMPENDIUM WEALTH ADVISORS, LLC

AUSTIN, TX

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Search this name across graphsid dfx:ria:95ff7e10-35cb-a49c-8837-967787b4596d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: COMPENDIUM WEALTH ADVISORS, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 23, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S66
First exam: Dec 23, 2002
First registration: Jan 3, 2003
Dual registered: no
Other names: STEVEN JAY LEVY|STEVE LONDON
IAPD individual key: 4599921

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
COMPENDIUM WEALTH ADVISORS, LLC	State registered	Sep 21, 2016	n/a	yes	AUSTIN, TX	Current employment
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Jul 19, 2013	Jun 2, 2016	no	HOUSTON, TX	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Apr 13, 2011	Dec 31, 2012	no	Houston, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Feb 2, 2009	Aug 12, 2009	no	PEARLAND, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
EAGLE STRATEGIES LLC	Bd affiliated wealth	Apr 13, 2007	Jan 7, 2009	no	HOUSTON, TX\|LEAGUE CITY, TX\|HOUSTON, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 3, 2003	Oct 31, 2006	no	HOUSTON, TX\|Houston, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PARK AVENUE SECURITIES LLC	COMPENDIUM WEALTH ADVISORS, LLC	Jun 2, 2016	Sep 21, 2016	111	Firm change	Other
MML INVESTORS SERVICES, LLC	PARK AVENUE SECURITIES LLC	Dec 31, 2012	Jul 19, 2013	200	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	MML INVESTORS SERVICES, LLC	Aug 12, 2009	Apr 13, 2011	609	Firm change after gap	Other
EAGLE STRATEGIES LLC	CHASE INVESTMENT SERVICES CORP.	Jan 7, 2009	Feb 2, 2009	26	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	EAGLE STRATEGIES LLC	Oct 31, 2006	Apr 13, 2007	164	Firm change	Other

Relationships

Registered with (6)

→ COMPENDIUM WEALTH ADVISORS, LLCRegistered adviserregistration: current employment
Sep 21, 2016 to presentfactForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Jul 19, 2013 to Jun 2, 2016factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Apr 13, 2011 to Dec 31, 2012factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Feb 2, 2009 to Aug 12, 2009factForm ADV
→ EAGLE STRATEGIES LLCRegistered adviserregistration: previous registration
Apr 13, 2007 to Jan 7, 2009factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 3, 2003 to Oct 31, 2006factForm ADV

Dated events

No dated event names this entity yet.