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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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JW

James A. Weber

COMPASS FINANCIAL ADVISORS
Fort Wayne, IN 46825
Some features on this profile are disabled
CRD#: 7054819
JW

Professional summary

James Andrew Weber, who also goes by James Weber, is a registered financial advisor currently at COMPASS FINANCIAL ADVISORS LLC located in Fort Wayne, Indiana and AUSDAL FINANCIAL PARTNERS, INC. located in Fort Wayne, Indiana.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. James has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Weber

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Andrew Weber's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 18, 2023 - Present

COMPASS FINANCIAL ADVISORS LLC

Office #1: 9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825
RIA
CRD#: 109131
Fort Wayne, IN
Current

May 30, 2023 - Present

AUSDAL FINANCIAL PARTNERS, INC.

Office #1: 9933 Dupont Circle Drive West, Fort Wayne, IN 46825
RIA
BD
CRD#: 7995
Fort Wayne, IN
Past

April 25, 2022 - May 19, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
FORT WAYNE, IN
Past

December 20, 2021 - May 19, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
FORT WAYNE, IN
Past

April 2, 2019 - November 16, 2021

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
FORT WAYNE, IN

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 ADVISORS LLC
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS

CRD#: 109131 / SEC#: 801-56002

RIA
Registered Investment Advisory firm - (11/30/1998 Approved)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(8/11/2025)
RR
Colorado
(2/5/2026)
RR
Florida
(6/13/2023)
RR
Georgia
(11/5/2024)
RR
Illinois
(8/2/2024)
IAR
Indiana
(5/18/2023)
RR
Indiana
(5/30/2023)
RR
Kentucky
(2/20/2024)
RR
Louisiana
(2/5/2026)
RR
Michigan
(9/21/2023)
RR
Minnesota
(9/3/2025)
RR
North Dakota
(3/27/2025)
RR
Ohio
(1/29/2024)
RR
Texas
(9/26/2024)
RR
Vermont
(1/17/2025)
RR
Virginia
(3/1/2024)
RR
Washington
(9/19/2024)
RR
Wisconsin
(3/6/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/12/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/2/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/21/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CF
COMPASS FINANCIAL ADVISORS LLC
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS

CRD#: 109131 / SEC#: 801-56002

RIA
Registered Investment Advisory firm - (11/30/1998 Approved)
PREMIUM
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Contact information

Main Address
9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825
Mailing Address
Phone number
(260) 490-7878
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

COMPASS FINANCIAL PART 2A BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts750
AUM (Assets Under Management)$ 264,674,639

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.

Company Information

COMPASS FINANCIAL ADVISORS LLC

CRD#: 109131Fort Wayne, IN 46825

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