Paul A. Surface

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CRD#: 1018111

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Paul Allan Surface was a registered financial advisor .

Paul is a previously registered financial advisor and started their career in finance in 1982. Paul had worked at 7 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 17, 2004 - October 13, 2006

COMPASS CAPITAL CORPORATION

RIA

CRD#: 112323

QUINCY, MA

Past

August 4, 2004 - September 14, 2006

COMPASS SECURITIES CORPORATION

CRD#: 16168

NATICK, MA

Past

January 13, 1997 - August 2, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 12, 1994 - January 3, 1997

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

March 16, 1993 - March 9, 1994

G.R. STUART & COMPANY, INC.

CRD#: 29101

MAYNARD, MA

Past

April 22, 1992 - March 16, 1993

FINANCIAL SECURITIES NETWORK,INC.

CRD#: 16153

Past

January 4, 1990 - May 19, 1992

COMPASS SECURITIES CORPORATION

CRD#: 16168

BRAINTREE, MA

Past

January 7, 1982 - February 20, 1990

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COMPASS CAPITAL CORPORATION

CHADWICK & ROTHENBERG GROUP LLC | STRATEGIC PLANNING INC | LICCIARDELLO FINANCIAL SERVICES | COMPASS CAPITAL CORPORATION

CRD#: 112323 / SEC#: 801-21957

RIA

Registered Investment Advisory firm - (7/31/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 7/23/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/29/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COMPASS CAPITAL CORPORATION

CHADWICK & ROTHENBERG GROUP LLC | STRATEGIC PLANNING INC | LICCIARDELLO FINANCIAL SERVICES | COMPASS CAPITAL CORPORATION

CRD#: 112323 / SEC#: 801-21957

RIA

Registered Investment Advisory firm - (7/31/1984 Approved)

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Contact information

Main Address

50 Braintree Hill Office Park Suite 105, Braintree, MA 02184-8734

Mailing Address

Phone number

(781) 535-6083

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS CAPITAL FORM ADV 2 BROCHURE DATED 063025 (9/25/2025)

Regulatory assets under management

Total Number of Accounts	1,371
AUM (Assets Under Management)	$ 663,564,349

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Paul A. Surface

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMPASS SECURITIES CORPORATION

NEW ENGLAND SECURITIES

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

G.R. STUART & COMPANY, INC.

FINANCIAL SECURITIES NETWORK,INC.

COMPASS SECURITIES CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

COMPASS CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/13/1999

Series 63

Date: 1/4/1982

Series 22

Date: 7/23/1982

Series 6

Date: 12/29/1981

Current Firm

COMPASS CAPITAL CORPORATION

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS CAPITAL CORPORATION

TRUST BUT VERIFY

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