James P. Hutchison

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CRD#: 2264784

Professional summary

James Paul Hutchison JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James Paul Hutchison JR, who also goes by James Paul Hutchinson Jr, Jim Hutchinson, James P Hutchison, Jim Hutchison, was a registered financial advisor .

James is a previously registered financial advisor and started their career in finance in 1992. James had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Paul Hutchinson Jr | Jim Hutchinson | James P Hutchison | Jim Hutchison

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

February 23, 2009 - May 4, 2010

COMPASS FINANCIAL ADVISORS LLC

RIA

CRD#: 109131

NEW ORLEANS, LA

Past

April 8, 2008 - October 8, 2008

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

March 31, 2006 - March 17, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SPRING, TX

Past

March 31, 2006 - March 17, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SPRING, TX

Past

November 10, 2000 - March 30, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BRENHAM, TX

Past

November 10, 2000 - March 30, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 3, 1997 - November 15, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 11, 1992 - September 24, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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 ADVISORS LLC

CRD#: 109131 / SEC#: 801-56002

RIA

Registered Investment Advisory firm - (11/30/1998 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: 6/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/13/1992

General Securities Representative Examination

Current Firm

COMPASS FINANCIAL ADVISORS LLC

CRD#: 109131 / SEC#: 801-56002

RIA

Registered Investment Advisory firm - (11/30/1998 Approved)

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Contact information

Main Address

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

Mailing Address

Phone number

(260) 490-7878

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 FINANCIAL PART 2A BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	750
AUM (Assets Under Management)	$ 264,674,639

Red Flags

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Firm Stability Insights

James P. Hutchison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEXT FINANCIAL GROUP, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

COMPASS FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/1998

Series 63

Date: 11/25/1992

Series 7

Date: 10/13/1992

Current Firm

COMPASS FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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