JD
James R. Davenport
COMPASS FINANCIAL MANAGEMENT LLC
SARASOTA, FL 34236
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CRD#: 5741283
JD
Professional summary
James Robert Davenport, CFP® is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Sarasota, Florida.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. James has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 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.
1) INSURANCE SALES; 700 COMMERCE DRIVE OAKBROOK, IL; I AM A AGENT FOR VARIOUS COMPANIES;ACTIVITY BEGAN 10/2015; I DEVOTE APPX 10 HOURS PER MONTH ALL DURING TRADING HOURS TO THIS ACTIVITY. LIFE AND HEALTH INSURANCE SALES. COMPENSATION IS COMMISSION.
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Davenport'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®
Start date: 2017
Experience
Current
September 7, 2023 - Present
COMPASS FINANCIAL MANAGEMENT LLC
Office #1: 1990 Main Street Suite 741, Sarasota, FL 34236RIA
CRD#: 156345
SARASOTA, FL
Past
March 7, 2017 - August 1, 2023
HALO SECURITIES, LLC
BD
CRD#: 279029
Sarasota, FL
Past
October 27, 2015 - September 5, 2023
ROTHSCHILD WEALTH LLC
RIA
CRD#: 162442
Sarasota, FL
Past
October 27, 2015 - February 28, 2017
AUSDAL FINANCIAL PARTNERS, INC.
BD
CRD#: 7995
Oak Brook, IL
Past
July 9, 2013 - November 10, 2015
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PARK RIDGE, IL
Past
March 11, 2010 - November 10, 2015
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PARK RIDGE, 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
Florida(9/7/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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
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