Jay L. Shein

COMPASS FINANCIAL GROUP

DEERFIELD BEACH, FL 33441

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CRD#: 1741677

Professional summary

Jay Lesing Shein, CFP®, CIMA®, who also goes by Jay L Shein, is a registered financial advisor currently at COMPASS FINANCIAL GROUP, INC. located in Deerfield Beach, Florida.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Jay has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay L Shein

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.

Jay Shein is the Author of books and publications for CCH - a Wolters Kluwer business and receives book royalties for respective sales. Non-investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Lesing Shein'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®

CFP^®

Certified Financial Planner

Start date: 1990

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 7, 2003 - Present

COMPASS FINANCIAL GROUP, INC.

Office #1: 665 S.e. 10th Street Suite 202, Deerfield Beach, FL 33441

RIA

CRD#: 125186

DEERFIELD BEACH, FL

Past

November 17, 1992 - March 30, 2005

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

LIGHTHOUSE POINT, FL

Past

March 31, 1989 - March 30, 2005

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

December 14, 1988 - March 31, 1989

LOWRY FINANCIAL SERVICES CORPORATION

CRD#: 7291

NORTH PALM BEACH, FL

Past

January 28, 1988 - January 10, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 5, 1987 - February 18, 1988

TOWER SQUARE SECURITIES, INC.

CRD#: 833

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 GROUP, INC.

CRD#: 125186 / SEC#: 801-61941

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

Florida

Registered Investment Advisory firm - (4/7/2003 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

Florida
(4/7/2003)

IAR

Texas
(10/1/2003)

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: 12/4/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/14/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/8/2000

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/21/1993

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/2/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COMPASS FINANCIAL GROUP, INC.

CRD#: 125186 / SEC#: 801-61941

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

Florida

Registered Investment Advisory firm - (4/7/2003 Terminated)

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Contact information

Main Address

665 S.e. 10th Street Suite 202, Deerfield Beach, FL 33441

Mailing Address

Phone number

(954) 481-2607

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS FINANCIAL GROUP, INC. ADV BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	425
AUM (Assets Under Management)	$ 405,907,000

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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Firm Stability Insights

Jay L. Shein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Lesing Shein's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

LOWRY FINANCIAL SERVICES CORPORATION

INTEGRATED RESOURCES EQUITY CORPORATION

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

COMPASS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/1999

Series 63

Date: 5/14/1990

Series 7

Date: 8/8/2000

Series 22

Date: 6/21/1993

Series 6

Date: 10/2/1987

Current Firm

COMPASS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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