AS
Albert D. Souza
COMPASS FINANCIAL MANAGEMENT LLC
Seattle, WA 98117
Some features on this profile are disabled
CRD#: 5571527
AS
Professional summary
Albert Daniel Souza, CFP®, who also goes by Al Souza, Albert Souza, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Seattle, Washington.
Albert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Albert has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Al Souza | Albert Souza
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. OUTSIDE INSURANCE POSITION: owner NATURE: sole proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2019 ADDRESS: 6525 15th Ave NW, Seattle WA 98117, United States DESCRIPTION: Selling life insurance 2. REDWOOD TAX SPECIALIST POSITION: Managing director NATURE: LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2021 ADDRESS: 6525 15th ave nw, Seattle WA 98117, United States DESCRIPTION: I call CPA's in Washington looking for high net worth clients that get referred to the CPA at redwood tax that helps them reduce their taxes. 3. SOUZA INSURANCE SEVICES POSITION: owner NATURE: outside insurance life insurance and annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/19/2020 ADDRESS: 6525 15th Ave NW, Seattle WA 98117, United States DESCRIPTION: Sell life insurance and annuities 4. 20% owner of land for the building of 120 apartment units in Seattle
CRS (Client Relationship Summary) - RIA
Click below to view Albert Daniel Souza'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 18, 2025 - Present
COMPASS FINANCIAL MANAGEMENT LLC
Office #1: 6525 15th Ave Nw, Seattle, WA 98117RIA
CRD#: 156345
Seattle, WA
Past
May 5, 2021 - September 4, 2025
ADAMS FINANCIAL CONCEPTS, LLC
RIA
CRD#: 134545
Seattle, WA
Past
September 27, 2019 - May 2, 2021
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
SEATTLE, WA
Past
September 27, 2019 - May 2, 2021
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
SEATTLE, WA
Past
January 23, 2015 - October 7, 2019
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Seattle, WA
Past
January 2, 2014 - December 1, 2014
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
SEATTLE, WA
Past
December 11, 2008 - January 13, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SEATTLE, WA
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
Washington(7/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/4/2021
General Securities Representative ExaminationGeneral Industry/Product 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.
