James J. Bobos

COMPASS FINANCIAL ADVISORS LLC

CHESTERTON, IN 46304

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CRD#: 4387667

Professional summary

James Joseph Bobos, who also goes by James J Bobos, is a registered financial advisor currently at COMPASS FINANCIAL ADVISORS LLC located in Chesterton, Indiana.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James J Bobos

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.

INSURANCE SALES - AGENT - START DATE: 07/17/2015 - ADDRESS: 160 RAIL ROAD, SUITE 2, CHESTERON, IN 46304. Time spent-less than 1 hour per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Bobos'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

December 27, 2001 - Present

COMPASS FINANCIAL ADVISORS LLC

Office #1: 160 Rail Road, Suite 2, Chesterton, IN 46304

RIA

CRD#: 109131

CHESTERTON, IN

Past

July 27, 2015 - May 25, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

VALPARAISO, IN

Past

October 27, 2007 - July 28, 2015

FINTEGRA, LLC

CRD#: 16741

VALPARAISO, IN

Past

February 7, 2005 - November 10, 2005

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

VALPARAISO, IN

Past

September 2, 2003 - October 16, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

VALPARAISO, IN

Past

November 12, 2001 - September 2, 2003

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

October 9, 2001 - October 23, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 16, 2001 - July 2, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

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.

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
(12/27/2001)

IAR

Texas
(5/8/2017)

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 66

Date: 5/30/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/25/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2001

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

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

James J. Bobos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Bobos's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

FINTEGRA, LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

MUTUAL SERVICE CORPORATION

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

COMPASS FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/30/2001

SIE

Date: 5/25/2016

Series 7

Date: 5/14/2001

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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