JW
James A. Weber
COMPASS FINANCIAL ADVISORS LLC
Fort Wayne, IN 46825
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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.
(1) OUTSIDE INSURANCE SALES; INVESTMENT RELATED; FORT WAYNE, IN; INSURANCE SALES; AGENT; ACTIVITY BEGAN MAY 2023; I DEVOTE APPX 5 HOURS PER MONTH TO THIS ACTIVITY WITH 5 OF THOSE HOURS DURING TRADING HOURS; SALE OF INSURANCE PRODUCTS TO CLIENTS. (2) NOTARY PUBLIC; NON-INVETMENT RELATED; FORT WAYNE, IN; NOTARY; ACTIVITY BEGAN MAY 2023; I DEVOTE 1 HOUR PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; NOTARIZE CLIENT DOCUMENTS WHEN NEEDED. (3) SCORE ASSOCIATION; NON INVESTMENT RELATED; FORT WAYNE, IN; PROVIDES FREE BUSINESS ADVICE ; VOLUNTEER AND MENTOR; ACTIVITY BEGAN AUGUST 2023; I DEVOTE APPX 10 HOURS PER MONTH TO THIS ACTIVITY WITH 5 OF THOSE HOURS DURING TRADING HOURS; ASSIST WITH COMMUNITY EVENTS AND MENTOR SMALL BUSINESS OWNERS IN FINANCIAL SERVICES AND INVESTMENTS. (4) WELLS COUNTY OTTERS SWIM CLUB; NOT INVESTMENT RELATED; OASSIN, IN; SWIM CLUB; BOARD MEMBER; ACTIVITY BEGAN 12/2023; I DEVOTE APPX 5 HOURS PER MONTH TO THIS ACTIVITY WITH NONE OF THOSE HOURS DURING TRADING HOURS; ATTEND BOARD MEETINGS. (5) JUNIOR ACHIEVEMENT; NOT INVESTMENT RELATED; BLUFFTON, IN; NON PROFIT TO INSPIRE TEENS; BOARD OF DIRECTOR POSITION; ACTIVITY BEGAN 09/2025; I DEVOTE APPX 4 HOURS PER MONTH TO THIS ACTIVITY WITH ALL OF THOSE HOURS DURING TRADING HOURS; BOARD OF DIRECTOR POSITION WITH A LOCAL CHAPTER OF JUNIOR ACHIEVEMENT.
CRS (Client Relationship Summary) - RIA
Click below to view James Andrew Weber'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®
NoneExperience
Current
May 18, 2023 - Present
COMPASS FINANCIAL ADVISORS LLC
Office #1: 9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825RIA
CRD#: 109131
Fort Wayne, IN
Current
May 30, 2023 - Present
AUSDAL FINANCIAL PARTNERS, INC.
Office #1: 9933 Dupont Circle Drive West, Fort Wayne, IN 46825RIA
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
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
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
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 4/2/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
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)Upgrade to AdvisorCheck 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)
Regulatory assets under management
| Total Number of Accounts | 750 |
| 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.
