John R. Ahern

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CRD#: 723273

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

John Raymond Ahern, who also goes by John R Ahern, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1981. John had worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John R Ahern

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.

COMPASS SECURITIES CORPORATION, BRAINTREE, MASSACHUSETTS IS WHERE I AM EMPLOYED AS A PRINCIPAL AND HAVE BEEN AFFILIATED SINCE 1989. I SPEND APPROX. 90% OF TIME ON CSC BUSINESS. I AM INSURANCE LICENSED: EVERY ONCE IN A WHILE, I SELL FIXED ANNUITIES. OCCASIONAL SALES ACTIVITY IN THE FORM OF ROLLOVERS. HAVE NO PERSONAL INVESTMENT IN THIS ACTIVITY. NEGLIGIBLE TIME SPENT ON THIS ACTIVITY; NEED TO BE INVOLVED IN THIS HAS BEEN EVERY SEVERAL YEARS. NAME OF BUSINESS: LOPER ASSOCIATES, INC. ADDRESS: 23 MEDFORD LANE SCARSDALE, NY 10583 I AM PRESIDENT AND 50% OWNER OF THE ABOVE BUSINESS. IT IS A REAL ESTATE MANAGEMENT CO. THAT OWNS THE LEASEHOLD FOR ONE 14,000 SQUARE FOOT BUILDING IN YONKERS, NY, THAT RENTS SPACE TO COMMERCIAL TENANTS. THE BUSINESS PASSED FROM MY FATHER'S ESTATE IN 1971 TO MY SISTER AND MYSELF. MY SISTER MANAGES THE DAY-TO-DAY REAL ESTATE MATTERS WHILE I MANAGE THE FINANCIAL OVERVIEW AND TENANT LEASE-UP DOCUMENTS. THERE ARE VERY FEW OCCASIONS THAT DEMANDS MY ATTENTION DURING THE NORMAL BUSINESS DAY. THE BUSINESS IS IN NO WAY RELATED TO MY INVESTMENT BUSINESS. I SPEND LESS THAN 10 HOURS/MO IN MATTERS RELATING TO THE BUSINESS, ALTHOUGH THE WORK PATTERN IS VERY IRREGULAR.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 14, 1994 - May 15, 2024

COMPASS CAPITAL CORPORATION

RIA

CRD#: 112323

BRAINTREE, MA

Past

January 26, 1989 - April 4, 2022

COMPASS SECURITIES CORPORATION

CRD#: 16168

BRAINTREE, MA

Past

February 9, 1981 - January 19, 1989

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

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".

COMPASS CAPITAL CORPORATION

CHADWICK & ROTHENBERG GROUP LLC | STRATEGIC PLANNING INC | LICCIARDELLO FINANCIAL SERVICES | COMPASS CAPITAL CORPORATION

CRD#: 112323 / SEC#: 801-21957

RIA

Registered Investment Advisory firm - (7/31/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/9/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/29/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/2/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/1991

General Securities Principal Examination

Current Firm

COMPASS CAPITAL CORPORATION

CHADWICK & ROTHENBERG GROUP LLC | STRATEGIC PLANNING INC | LICCIARDELLO FINANCIAL SERVICES | COMPASS CAPITAL CORPORATION

CRD#: 112323 / SEC#: 801-21957

RIA

Registered Investment Advisory firm - (7/31/1984 Approved)

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Contact information

Main Address

50 Braintree Hill Office Park Suite 105, Braintree, MA 02184-8734

Mailing Address

Phone number

(781) 535-6083

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPASS CAPITAL FORM ADV 2 BROCHURE DATED 063025 (9/25/2025)

Regulatory assets under management

Total Number of Accounts	1,371
AUM (Assets Under Management)	$ 663,564,349

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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John R. Ahern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMPASS SECURITIES CORPORATION

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

COMPASS CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 2/9/1981

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1987

Series 22

Date: 10/29/1982

Series 6

Date: 2/2/1981

Series 24

Date: 7/31/1991

Current Firm

COMPASS CAPITAL CORPORATION

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS CAPITAL CORPORATION

TRUST BUT VERIFY

Contact information

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