Frederick E. Mowery

COMPASS FINANCIAL MANAGEMENT LLC

Allen, TX 75002

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CRD#: 1246802

Professional summary

Frederick Eugene Mowery, who also goes by Fritz Mowery, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Allen, Texas.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Frederick has worked at 14 firms and has passed the Series 63, Series 7, Series 22 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fritz Mowery

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.

OWNER/PARTNER IN OXFORD ADVISORS CORP D/B/A MOWREY CAPITAL MANAGEMENT, A TEXAS RIA. AGENTS INSURANCE SALES & SERVICE INC. NON-INVESTMENT RELATED 206 South Kentucky ST Suite201 MCKINNEY TX 75069 POSITION: AGENT START DATE: MARCH 2008 8-10 HOURS / MONTH DUTIES: MARKETING & SALES OF TRADITIONAL LIFE INSURANCE, LONG TERM CARE & FIXED ANNUITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Eugene Mowery's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 28, 2021 - Present

COMPASS FINANCIAL MANAGEMENT LLC

Office #1: 1719 Angel Pkwy Ste 400-215, Allen, TX 75002

RIA

CRD#: 156345

Allen, TX

Past

May 18, 2016 - December 15, 2020

WORTH FINANCIAL GROUP INC.

RIA

CRD#: 13478

McKinney, TX

Past

June 29, 2009 - November 19, 2014

WORTH FINANCIAL GROUP INC.

RIA

CRD#: 13478

MCKINNEY, TX

Past

October 13, 2004 - May 3, 2022

MOWERY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 130761

DALLAS, TX

Past

June 2, 2004 - November 11, 2008

WORTH FINANCIAL GROUP INC.

CRD#: 13478

DALLAS, TX

Past

November 25, 2003 - June 11, 2004

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

DALLAS, TX

Past

March 5, 2003 - December 31, 2004

OXFORD ADVISORS CORPORATION

RIA

CRD#: 113581

DALLAS, TX

Past

January 31, 2000 - December 31, 2002

OXFORD ADVISORS CORPORATION

RIA

CRD#: 113581

DALLAS, TX

Past

October 28, 1999 - December 31, 2001

OXFORD FINANCIAL GROUP

CRD#: 40700

HOUSTON, TX

Past

October 23, 1995 - October 20, 1999

RUSHMORE SECURITIES CORPORATION

CRD#: 8392

DALLAS, TX

Past

January 1, 1994 - December 15, 1994

COMERICA FINANCIAL SERVICES, INC.

CRD#: 31794

Past

December 18, 1990 - January 7, 1992

CAPITAL ONE INVESTMENTS, LLC

CRD#: 17526

NEW ORLEANS, LA

Past

December 7, 1989 - November 16, 1990

CAMBRIDGE-NEWPORT COMPANY, INC.

CRD#: 18887

SPRINGFIELD, MA

Past

June 18, 1989 - December 31, 1989

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

September 20, 1988 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

April 29, 1986 - September 7, 1988

GILLESPIE & HOLLAND, INC.

CRD#: 10691

Past

April 16, 1984 - August 9, 1985

FEC SECURITIES CORPORATION

CRD#: 11422

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 FINANCIAL MANAGEMENT LLC

CRD#: 156345 / SEC#: 801-118185

RIA

Registered Investment Advisory firm - (3/6/2020 Approved)

Florida

Registered Investment Advisory firm - (3/11/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (3/19/2020 Terminated)

New York

Registered Investment Advisory firm - (3/11/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (3/11/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(9/28/2021)

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

Series 63

Date: 4/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/13/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 39

Date: 3/21/1985

Direct Participation Programs Principal Examination

Current Firm

COMPASS FINANCIAL MANAGEMENT LLC

CRD#: 156345 / SEC#: 801-118185

RIA

Registered Investment Advisory firm - (3/6/2020 Approved)

Florida

Registered Investment Advisory firm - (3/11/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (3/19/2020 Terminated)

New York

Registered Investment Advisory firm - (3/11/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (3/11/2020 Terminated)

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Contact information

Main Address

2422 W. Sunset Drive, Tampa, FL 33629

Mailing Address

Phone number

(813) 831-5168

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS FINANCIAL MANAGEMENT ADV PART 2A 3/19/2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,350
AUM (Assets Under Management)	$ 518,984,611

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Advisor Monitoring

Firm Stability Insights

Frederick E. Mowery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Eugene Mowery's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORTH FINANCIAL GROUP INC.

WORTH FINANCIAL GROUP INC.

MOWERY CAPITAL MANAGEMENT, LLC

WORTH FINANCIAL GROUP INC.

PROSPERA FINANCIAL SERVICES, INC.

OXFORD ADVISORS CORPORATION

OXFORD ADVISORS CORPORATION

OXFORD FINANCIAL GROUP

RUSHMORE SECURITIES CORPORATION

COMERICA FINANCIAL SERVICES, INC.

CAPITAL ONE INVESTMENTS, LLC

CAMBRIDGE-NEWPORT COMPANY, INC.

SUNAMERICA SECURITIES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

GILLESPIE & HOLLAND, INC.

FEC SECURITIES CORPORATION

Primary Firm SEC Registration

COMPASS FINANCIAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/1984

Series 7

Date: 7/19/1986

Series 22

Date: 4/13/1984

Series 39

Date: 3/21/1985

Current Firm

COMPASS FINANCIAL MANAGEMENT LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL MANAGEMENT LLC

TRUST BUT VERIFY

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