Mark Alan Fleming

Employer firm

Compass Financial Management LLC CRD 156345

$894M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → 12/2017
  Topel Formon Llc
  Chicago, IL
• 12/2017 → 08/2023
  Sentinus, Llc
  Oak Broook, IL
• 09/2023 → 06/2024
  Paradigm Wealth Management, Llc
  Oak Brook, IL
• 07/2024 → Present
  Compass Financial Management Llc
  Oak Brook, IL

Previous Registrations

• 2023-09-01 → 2024-08-21
  Paradigm Wealth Management, Llc
  Oak Brook, IL
  Westlake, OH
• 2018-03-05 → 2023-09-05
  Rothschild Wealth Llc
  Oakbrook, IL
  Elmurst, IL
• 2012-10-18 → 2012-10-22
  Strategic Wealth Partners, Llc
  Deerfield, IL

Other Businesses

HIGHLANDS II LLC 123 N MAIN STREET SUITE 202 CROWN POINT IN 46307 EF HIGHLANDS LLC 123 N MAIN STREET SUITE 202 CROWN POINT IN 46307 LIMITED PARTNERSHIP INTERESTS RECEIVED FROM GRANDFATHER'S ESTATE. MY UNCLE, TOM FLEMING, IS THE ONLY GENERAL PARTNER AND IS THE ONLY DECISION MAKER IN THE PARTNERSHIP WHICH ARE REAL ESTATE DEVELOPMENTS OF SUBDIVISIONS FOR RESIDENTIAL HOMES.

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-01-31

Designations

• Certified Financial Planner