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Current Employers
Compass Financial Advisors Llc

9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2023-05-18
  • IN RA
    APPROVED
    Since 2023-05-18

Branch Locations

9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Fort Wayne IN 12/2018 11/2021
Jpmorgan Chase Bank, N.A. Fort Wayne IN 01/2017 12/2018
Fort Wayne Diamondbacks / Diamond Baseball And Softball Academy Fort Wayne IN 12/2008 12/2019
Dick's Sporting Goods Fort Wayne IN 05/2017 12/2017
Mike's Carwash Fort Wayne IN 06/2016 01/2017
Ameriprise Financial Services, Llc Fort Wayne IN 11/2021 05/2023
Varsity Tutors Indianapolis IN 09/2021 05/2023
Compass Financial Advisors Fort Wayne IN 05/2023 Present
Ausdal Financial Partners Fort Wayne IN 05/2023 Present
  • 12/2018 → 11/2021
    J.P. Morgan Securities Llc
    Fort Wayne, IN
  • 01/2017 → 12/2018
    Jpmorgan Chase Bank, N.A.
    Fort Wayne, IN
  • 12/2008 → 12/2019
    Fort Wayne Diamondbacks / Diamond Baseball And Softball Academy
    Fort Wayne, IN
  • 05/2017 → 12/2017
    Dick's Sporting Goods
    Fort Wayne, IN
  • 06/2016 → 01/2017
    Mike's Carwash
    Fort Wayne, IN
  • 11/2021 → 05/2023
    Fort Wayne, IN
  • 09/2021 → 05/2023
    Varsity Tutors
    Indianapolis, IN
  • 05/2023 → Present
    Compass Financial Advisors
    Fort Wayne, IN
  • 05/2023 → Present
    Ausdal Financial Partners
    Fort Wayne, IN
Previous Registrations
Other Businesses

(1) OUTSIDE INSURANCE SALES; INVESTMENT RELATED; FORT WAYNE, IN; INSURANCE SALES; AGENT; ACTIVITY BEGAN MAY 2023; I DEVOTE APPX 5 HOURS PER MONTH TO THIS ACTIVITY WITH 5 OF THOSE HOURS DURING TRADING HOURS; SALE OF INSURANCE PRODUCTS TO CLIENTS. (2) NOTARY PUBLIC; NON-INVETMENT RELATED; FORT WAYNE, IN; NOTARY; ACTIVITY BEGAN MAY 2023; I DEVOTE 1 HOUR PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; NOTARIZE CLIENT DOCUMENTS WHEN NEEDED. (3) SCORE ASSOCIATION; NON INVESTMENT RELATED; FORT WAYNE, IN; PROVIDES FREE BUSINESS ADVICE ; VOLUNTEER AND MENTOR; ACTIVITY BEGAN AUGUST 2023; I DEVOTE APPX 10 HOURS PER MONTH TO THIS ACTIVITY WITH 5 OF THOSE HOURS DURING TRADING HOURS; ASSIST WITH COMMUNITY EVENTS AND MENTOR SMALL BUSINESS OWNERS IN FINANCIAL SERVICES AND INVESTMENTS. (4) WELLS COUNTY OTTERS SWIM CLUB; NOT INVESTMENT RELATED; OASSIN, IN; SWIM CLUB; BOARD MEMBER; ACTIVITY BEGAN 12/2023; I DEVOTE APPX 5 HOURS PER MONTH TO THIS ACTIVITY WITH NONE OF THOSE HOURS DURING TRADING HOURS; ATTEND BOARD MEETINGS. (5) JUNIOR ACHIEVEMENT; NOT INVESTMENT RELATED; BLUFFTON, IN; NON PROFIT TO INSPIRE TEENS; BOARD OF DIRECTOR POSITION; ACTIVITY BEGAN 09/2025; I DEVOTE APPX 4 HOURS PER MONTH TO THIS ACTIVITY WITH ALL OF THOSE HOURS DURING TRADING HOURS; BOARD OF DIRECTOR POSITION WITH A LOCAL CHAPTER OF JUNIOR ACHIEVEMENT.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-04-11
S63 Uniform Securities Agent State Law Examination 2019-04-12
  • S65 Uniform Investment Adviser Law Examination
    2022-04-11
  • S63 Uniform Securities Agent State Law Examination
    2019-04-12
Other Names
  • James Andrew Weber
  • James Weber

View on SEC IAPD

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