Individual Firm
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JAMES ROBERT DAVENPORT
CRD#: 5741283
IA
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COMPASS FINANCIAL MANAGEMENT LLCCRD#: 156345 1990 Main Street
Sarasota, FL 34236
Sarasota, FL 34236
0
Disclosures
15
Years of Experience
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State Registrations
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Florida 9/7/2023
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Registered with this firm since 9/7/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/27/2015 - 09/05/2023 | Sarasota, FL | |
B | 03/07/2017 - 08/01/2023 | Sarasota, FL | |
IA | 10/27/2015 - 12/31/2017 | OAKBROOK, IL | |
B | 10/27/2015 - 02/28/2017 | Oak Brook, IL | |
IA | 07/09/2013 - 11/10/2015 | PARK RIDGE, IL | |
B | 03/11/2010 - 11/10/2015 | PARK RIDGE, IL |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.