James D. Compton

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CRD#: 51776

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Donald Compton, who also goes by Jim Compton, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1974. James had worked at 5 firms and has passed the Series 66, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Compton

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)COMPTON FINANCIAL CORP., 100 SAWMILL ROAD, STE 2300, LAFAYETTE, IN 47905. Non-Inv Related, FIXED RATE INS, PRESIDENT-SALES. TENURE-1976 TO PRESENT. HOURS DEVOTED-40 MONTHLY-VARIES....... 2)RIGHT STEPS CHILD DEVELOPMENT CENTERS; 9/01/2015; NOT RELATED; 100 SAWMILL ROAD, SUITE 2300, LAFAYETTE, IN 47905; BOARD MEMBER; SEATED ON THE BORAD TO OVERSEE BUDGET, GRANTS, FUNDRAISING; 2 HRS/MO; 0 TRADING HRS; NOTHING DAILY ONLY MONTHLY BOARD MEETINGS..... 3) EXECUTOR FOR IMMEDIATE FAMILY MEMBER.

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

January 26, 2019 - October 15, 2024

ASSET MANAGEMENT STRATEGIES, INC.

RIA

CRD#: 135173

LAFAYETTE, IN

Past

May 13, 2016 - April 9, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

LAFAYETTE, IN

Past

May 13, 2016 - April 9, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

LAFAYETTE, IN

Past

January 22, 2001 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

LAFAYETTE, IN

Past

January 3, 2001 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

LAFAYETTE, IN

Past

September 25, 1998 - December 31, 2000

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

May 1, 1974 - September 25, 1998

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

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".

ASSET MANAGEMENT STRATEGIES, INC.

ASSET MANAGEMENT STRATEGIES, INC. | TIMMONS FINANCIAL LLC | KEMERLY FINANCIAL | BLUESAFE FINANCIAL

CRD#: 135173 / SEC#: 801-108628

RIA

Registered Investment Advisory firm - (11/10/2016 Approved)

Georgia

Registered Investment Advisory firm - (12/20/2016 Terminated)

Illinois

Registered Investment Advisory firm - (11/10/2016 Terminated)

Indiana

Registered Investment Advisory firm - (11/16/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/16/2016 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.

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 66

Date: 12/18/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 4/27/1974

Registered Representative Examination

Current Firm

ASSET MANAGEMENT STRATEGIES, INC.

ASSET MANAGEMENT STRATEGIES, INC. | TIMMONS FINANCIAL LLC | KEMERLY FINANCIAL | BLUESAFE FINANCIAL

CRD#: 135173 / SEC#: 801-108628

RIA

Registered Investment Advisory firm - (11/10/2016 Approved)

Georgia

Registered Investment Advisory firm - (12/20/2016 Terminated)

Illinois

Registered Investment Advisory firm - (11/10/2016 Terminated)

Indiana

Registered Investment Advisory firm - (11/16/2016 Terminated)

Texas

Registered Investment Advisory firm - (11/16/2016 Terminated)

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Contact information

Main Address

450 E. 96th Street Suite 500, Indianapolis, IN 46240

Mailing Address

Phone number

(317) 577-6912

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSET MANAGEMENT STRATEGIES, INC. ADV PART 2 BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,038
AUM (Assets Under Management)	$ 207,398,966

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 D. Compton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

ADVANTAGE CAPITAL CORPORATION

Primary Firm SEC Registration

ASSET MANAGEMENT STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2000

SIE

Date: 4/9/2018

Series 1

Date: 4/27/1974

Current Firm

ASSET MANAGEMENT STRATEGIES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET MANAGEMENT STRATEGIES, INC.

TRUST BUT VERIFY

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