MF
Mark A. Fleming
COMPASS FINANCIAL MANAGEMENT LLC
OAK BROOK, IL 60523
Some features on this profile are disabled
CRD#: 5403100
MF
Professional summary
Mark Alan Fleming, CFP® is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Oak Brook, Illinois.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Mark has worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
HIGHLANDS II LLC
123 N MAIN STREET SUITE 202
CROWN POINT IN 46307
EF HIGHLANDS LLC
123 N MAIN STREET SUITE 202
CROWN POINT IN 46307
LIMITED PARTNERSHIP INTERESTS RECEIVED FROM GRANDFATHER'S ESTATE. MY UNCLE, TOM FLEMING, IS THE ONLY GENERAL PARTNER AND IS THE ONLY DECISION MAKER IN THE PARTNERSHIP WHICH ARE REAL ESTATE DEVELOPMENTS OF SUBDIVISIONS FOR RESIDENTIAL HOMES.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Fleming'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®
Experience
Current
July 16, 2024 - Present
COMPASS FINANCIAL MANAGEMENT LLC
Office #1: 700 Commerce Drive Suite 500, Oak Brook, IL 60523RIA
CRD#: 156345
OAK BROOK, IL
Past
September 1, 2023 - August 21, 2024
PARADIGM WEALTH MANAGEMENT, LLC
RIA
CRD#: 148662
Oak Brook, IL
Past
March 5, 2018 - September 5, 2023
ROTHSCHILD WEALTH LLC
RIA
CRD#: 162442
Elmurst, IL
Past
October 18, 2012 - October 22, 2012
STRATEGIC WEALTH PARTNERS, LLC
RIA
CRD#: 147168
DEERFIELD, IL
Past
January 16, 2008 - November 10, 2008
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
CHICAGO, IL
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".
CF
COMPASS FINANCIAL MANAGEMENT LLC
COMPASS FINANCIAL MANAGEMENT LLC | ZODA FINANCIAL | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT
CRD#: 156345 / SEC#: 801-118185
RIA
Registered Investment Advisory firm - (3/6/2020 Approved)Florida
Registered Investment Advisory firm - (3/11/2020 Terminated)New Jersey
Registered Investment Advisory firm - (3/19/2020 Terminated)New York
Registered Investment Advisory firm - (3/11/2020 Terminated)South Carolina
Registered Investment Advisory firm - (3/11/2020 Terminated)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
Illinois(7/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
CF
COMPASS FINANCIAL MANAGEMENT LLC
COMPASS FINANCIAL MANAGEMENT LLC | ZODA FINANCIAL | NATURE COAST CAPITAL | MY ROADMAP ADVISOR | MOWERY CAPITAL | MICHAEL LEE STRATEGY | MARKOWSKI INVESTMENTS HOLDING CORPORATION | MARKOWSKI BROTHERS HOLDING CORPORATION | KELLY INVESTMENT ADVISORS | KDH FINANCIAL | JOHN DANIELS CPA | INTELLIVISOR FAMILY OFFICE | INDEPENDENCE MONEY | FORTIFIED WEALTH MANAGEMENT | DMK ADVISOR GROUP | DISE WEALTH MANAGEMENT
CRD#: 156345 / SEC#: 801-118185
RIA
Registered Investment Advisory firm - (3/6/2020 Approved)Florida
Registered Investment Advisory firm - (3/11/2020 Terminated)New Jersey
Registered Investment Advisory firm - (3/19/2020 Terminated)New York
Registered Investment Advisory firm - (3/11/2020 Terminated)South Carolina
Registered Investment Advisory firm - (3/11/2020 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2422 W. Sunset Drive, Tampa, FL 33629
Mailing Address
Phone number
(813) 831-5168
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,350 |
| AUM (Assets Under Management) | $ 518,984,611 |
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.
