AH
Alan D. Hulstein
COMPASS FINANCIAL SERVICES
West Des Moines, IA 50266
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CRD#: 7349864
AH
Professional summary
Alan David Hulstein is a registered financial advisor currently at COMPASS FINANCIAL SERVICES located in West Des Moines, Iowa and LPL FINANCIAL LLC located in West Des Moines, Iowa.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Alan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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) 2/2022- COMPASS FINANCIAL SERVICES INC- DBA for LPL Business (entity for LPL business)- inv. related- West Des Moines, IA 2) 02/09/2022 - Compass Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Registered Admin - Start Date: 07/26/2021 - 170 Hours Per Month - Time Spent 100% - I provide administrative support to Compass Financial Services, an independent investment advisor firm. I started this business activity in 7/2021. I expect to spend approximately 170 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 03/13/2025 - Amazon - Not Investment Related - Other - Non-Securities Related Outside/1099 Employ - Ankeny, IA, - Start Date:02/13/2025 - 8 Hrs/Mth - 0 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Alan David Hulstein'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
September 23, 2022 - Present
COMPASS FINANCIAL SERVICES
Office #1: 4801 Westown Parkway, West Des Moines, IA 50266RIA
CRD#: 109441
West Des Moines, IA
Current
March 11, 2022 - Present
LPL FINANCIAL LLC
Office #1: 4801 Westown Pkwy, West Des Moines, IA 50266-1045RIA
BD
CRD#: 6413
West Des Moines, IA
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 SERVICES
COMPASS FINANCIAL SERVICES | PEARSON KURTIS SCOTT | COMPASS FINANCIAL SERVICES, INC.
CRD#: 109441 / SEC#: 801-118466
RIA
Registered Investment Advisory firm - (4/21/2020 Approved)Iowa
Registered Investment Advisory firm - (4/22/2020 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.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
Iowa(5/24/2022)
IAR
Iowa(9/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COMPASS FINANCIAL SERVICES
COMPASS FINANCIAL SERVICES | PEARSON KURTIS SCOTT | COMPASS FINANCIAL SERVICES, INC.
CRD#: 109441 / SEC#: 801-118466
RIA
Registered Investment Advisory firm - (4/21/2020 Approved)Iowa
Registered Investment Advisory firm - (4/22/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4801 Westown Parkway, West Des Moines, IA 50266
Mailing Address
Phone number
(515) 327-1020
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,806 |
| AUM (Assets Under Management) | $ 333,738,881 |
Red Flags
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Company Information
COMPASS FINANCIAL SERVICES
CRD#: 109441West Des Moines, IA 50266TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
