John R. Bubello

COMPASS RETIREMENT

Old Saybrook, CT

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CRD#: 4901918

Professional summary

John Robert Bubello, CFP®, who also goes by John Bubello, is a registered financial advisor currently at COMPASS RETIREMENT, LLC located in Old Saybrook, Connecticut.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. John has worked at 4 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Bubello

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.

03/2021-Present: 2 & 4 Nod Place, LLC/Not Investment Related/Clinton, CT/Income producing real estate property/Managing Member & Landlord/Involves five percent of time each month after traditional business hours. No advisory firm clients are investors in, solicited on behalf of, or served by 2 & 4 Nod Place, LLC; therefore, our firm does not believe this activity presents a conflict of interest with its clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Bubello's 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: 2019

Experience

Current

August 9, 2011 - Present

COMPASS RETIREMENT, LLC

RIA

CRD#: 158412

Old Saybrook, CT

Past

May 19, 2009 - July 5, 2011

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

OLD SAYBROOK, CT

Past

April 30, 2009 - July 5, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

OLD SAYBROOK, CT

Past

March 16, 2005 - May 19, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW HAVEN, CT

Past

March 2, 2005 - May 19, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW HAVEN, CT

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

Connecticut
(8/9/2011)

IAR

Florida
(6/16/2017)

IAR

North Carolina
(2/12/2023)

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: 3/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/1/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/3/2010

General Securities Principal Examination

Current Firm

COMPASS RETIREMENT, LLC

CRD#: 158412 / SEC#:

Connecticut

Registered Investment Advisory firm - (8/9/2011 Approved)

Florida

Registered Investment Advisory firm - (6/16/2017 Approved)

North Carolina

Registered Investment Advisory firm - (3/26/2021 Approved)

Texas

Registered Investment Advisory firm - (11/23/2020 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).

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Contact information

Main Address

Old Saybrook, CT

Mailing Address

Phone number

(860) 661-3821

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	257
AUM (Assets Under Management)	$ 73,325,046

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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John R. Bubello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Robert Bubello's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPASS RETIREMENT, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2005

Series 7

Date: 3/1/2005

Series 24

Date: 6/3/2010

Current Firm

COMPASS RETIREMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COMPASS RETIREMENT, LLC

TRUST BUT VERIFY

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