Michael H. Simpson

COMPASS FINANCIAL ADVISORS LLC

FORT WAYNE, IN

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CRD#: 4223513

Professional summary

Michael Howard Simpson, who also goes by Mike Simpson, is a registered financial advisor currently at COMPASS FINANCIAL ADVISORS LLC located in Fort Wayne, Indiana.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michael has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Simpson

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.

1) COMPASS FINANCIAL ADVISORS - DBA 2) DULIN, WARD & DEWALD CPA - POSITION: CPA SERVICES - NATURE: PREPARE TAX RETURNS AND FINANCIAL STATEMENTS - INVESTMENT RELATED: NO - HOURS: 160 - SECURITIES TRADING HOURS: 160 - START DATE: 10/2013 - ADDRESS: 9921 DUPONT CIRCLE DR W, FORT WAYNE IN 46835 3) VINCENT VILLAGE - POSITION: BOARD MEMBER - NATURE: VOLUNTEER ON NOT FOR PROFIT BOARD - INVESTMENT RELATED: NO - HOURS: 1 SECURITIES TRADING HOURS: 1 - START DATE: 6/1997 - ADDRESS: 2827 HOLTON AVE, FORT WAYNE IN 46806 4) Summit Equestrian Board Member,NYP. Work with disabled veterans. Non-investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Howard Simpson'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

June 21, 2002 - Present

COMPASS FINANCIAL ADVISORS LLC

RIA

CRD#: 109131

FORT WAYNE, IN

Past

May 23, 2016 - December 31, 2017

HARBOUR INVESTMENTS, INC.

CRD#: 19258

Fort Wayne, IN

Past

July 27, 2015 - May 25, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

FORT WAYNE, IN

Past

October 16, 2007 - July 31, 2015

FINTEGRA, LLC

CRD#: 16741

FORT WAYNE, IN

Past

February 7, 2005 - November 10, 2005

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

FORT WAYNE, IN

Past

September 2, 2003 - October 16, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

FORT WAYNE, IN

Past

June 11, 2002 - September 2, 2003

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

October 26, 2000 - June 25, 2002

VESTAX SECURITIES CORPORATION

RIA

CRD#: 10332

FT. WAYNE, IN

Past

July 17, 2000 - June 25, 2002

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

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.

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

Indiana
(6/21/2002)

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: 9/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/14/2000

Investment Company Products/Variable Contracts 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

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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Michael H. Simpson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Howard Simpson's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

SECURITIES AMERICA, INC.

FINTEGRA, LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

MUTUAL SERVICE CORPORATION

VESTAX SECURITIES CORPORATION

VESTAX SECURITIES CORPORATION

Primary Firm SEC Registration

COMPASS FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/2000

SIE

Date: 12/31/2017

Series 6

Date: 7/14/2000

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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