HS
Harold A. Schwartz
COMPASS FINANCIAL MANAGEMENT LLC
Lutz, FL 33558
Some features on this profile are disabled
CRD#: 841225
HS
Professional summary
Harold Alan Schwartz, who also goes by Harold A Schwartz, Hal Schwartz, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in Lutz, Florida and DMK ADVISOR GROUP, INC. located in Lutz, Florida.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Harold has worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, SIE, PC, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Harold A Schwartz | Hal Schwartz
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. DEL MAR GROUP INC - SINCE 01/01/1993 17961 Hunting Bow Circle, Suite 102, Lutz, Florida 33558- SEC RELATED - PRESIDENT FIN'L SVCS BSN - DEVOTE APPROX 30 HRS P/M 2. COQUINA KEY PUBLISHING, LLC POSITION: 50% owner 3hr/month; Managing Member NATURE: LLC INVESTMENT RELATED: No, SECURITIES TRADING HOURS: 1 START DATE: 10/24/2013 ADDRESS 17961 Hunting Bow Circle, Suite 102, Lutz, Florida 33558: DESCRIPTION: Publishing Company 3. DMG FINANCIAL LLC, POSITION: 50% owner 2hr/week; NATURE: LLC INVESTMENT RELATED: Yes, SECURITIES TRADING HOURS: 5 START DATE: 01/01/1993 ADDRESS:17961 Hunting Bow Circle, Suite 102, Lutz, Florida 33558 DESCRIPTION: Marketing, Management, Insurance Sales, Various carriers, ADDRESS: 17961 Hunting Bow Circle, Suite 102, Lutz, Florida 33558, Non-Trading Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Harold Alan Schwartz'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 10, 2021 - Present
COMPASS FINANCIAL MANAGEMENT LLC
Office #1: 17961 Hunting Bow Circle, Suite 102, Lutz, FL 33558RIA
CRD#: 156345
Lutz, FL
Current
January 4, 2022 - Present
DMK ADVISOR GROUP, INC.
Office #1: 17961 Hunting Bow Circle, Suite 102, Lutz, FL 33558Office #2: 9635 Maroon Circle, Suite 440, Englewood, CO 80112Office #5: 26 W. Dry Creek Circle Suite 600, Littleton, CO 80120Office #6: 811 Faulkner Springs Rd, Mcminnville, TN 37110RIA
BD
CRD#: 41067
Lutz, FL
Current
February 7, 2019 - Present
DMK ADVISOR GROUP, INC.
Office #1: 17961 Hunting Bow Circle, Suite 102, Lutz, FL 33558Office #2: 9635 Maroon Circle, Suite 440, Englewood, CO 80112Office #3: 26 W. Dry Creek Circle Suite 600, Littleton, CO 80120Office #4: 811 Faulkner Springs Rd, Mcminnville, TN 37110RIA
BD
CRD#: 41067
Lutz, FL
Past
February 20, 2019 - December 31, 2021
DMK ADVISOR GROUP, INC.
RIA
CRD#: 41067
Winter Springs, FL
Past
February 4, 2019 - February 5, 2019
DMK ADVISOR GROUP, INC.
RIA
CRD#: 41067
Winter Springs, FL
Past
November 6, 2017 - February 22, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
LUTZ, FL
Past
July 6, 2015 - April 5, 2018
NEW CENTURY FINANCIAL GROUP, LLC
RIA
CRD#: 104553
LITTLETON, CO
Past
June 30, 2015 - July 1, 2015
OSAIC WEALTH, INC.
RIA
CRD#: 23131
LUTZ, FL
Past
June 30, 2015 - February 22, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
LUTZ, FL
Past
March 9, 2006 - July 1, 2015
TLG ADVISORS, INC.
RIA
CRD#: 111052
LITTLETON, CO
Past
October 10, 1995 - July 1, 2015
THE LEADERS GROUP, INC.
BD
CRD#: 37157
LITTLETON, CO
Past
November 29, 1993 - October 11, 1995
D.E. FREY & COMPANY, INC.
BD
CRD#: 23595
DENVER, CO
Past
June 24, 1992 - July 28, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
April 11, 1988 - April 11, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 10, 1982 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
October 7, 1980 - August 25, 1981
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
August 2, 1977 - November 27, 1979
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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.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
Alabama(9/3/2019)
IAR
Alaska(2/15/2023)
RR
Alaska(4/10/2023)
RR
Arizona(3/21/2023)
RR
Arkansas(9/11/2024)
RR
California(5/16/2019)
IAR
California(11/10/2022)
RR
Colorado(2/20/2019)
IAR
Colorado(5/10/2021)
RR
Connecticut(8/28/2019)
RR
Florida(4/2/2019)
IAR
Florida(5/25/2021)
RR
Georgia(3/27/2019)
IAR
Georgia(7/28/2025)
RR
Idaho(11/14/2022)
RR
Illinois(5/30/2019)
IAR
Illinois(8/13/2025)
RR
Indiana(9/6/2019)
RR
Iowa(1/4/2023)
IAR
Kansas(10/31/2024)
RR
Louisiana(11/14/2022)
IAR
Louisiana(11/14/2022)
RR
Michigan(11/14/2022)
RR
Minnesota(4/30/2019)
RR
Mississippi(2/6/2024)
RR
Missouri(6/25/2019)
IAR
Missouri(2/4/2022)
RR
Montana(12/7/2022)
RR
Nebraska(12/9/2022)
RR
New Hampshire(9/19/2024)
RR
New York(5/16/2019)
RR
North Carolina(4/4/2019)
RR
North Dakota(10/28/2019)
RR
Ohio(11/10/2022)
RR
Oregon(5/4/2020)
IAR
Oregon(7/30/2025)
RR
Pennsylvania(4/10/2019)
RR
Puerto Rico(3/15/2019)
IAR
Puerto Rico(1/14/2022)
RR
South Carolina(2/5/2024)
IAR
South Carolina(7/29/2025)
RR
South Dakota(11/15/2022)
RR
Tennessee(2/7/2019)
IAR
Tennessee(11/10/2022)
RR
Texas(4/4/2019)
IAR
Texas(1/4/2022)
RR
Virginia(8/28/2019)
RR
Washington(5/17/2024)
RR
Wyoming(11/10/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 5/20/2025
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 5/26/1983
AMEX Put and Call ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/28/1977
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
COMPASS FINANCIAL MANAGEMENT LLC
CRD#: 156345Lutz, FL 33558TRUST BUT VERIFY
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