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Paladin Certified

This advisor or firm is a vetted, documented member of the Paladin Registry.

Certified is Paladin’s highest level of due diligence for financial advisors and firms. Paladin has conducted background checks for the credentials and ethics that are documented in its Registry research reports.

Paladin provides free information services to investors who rely on planners and investment advisors to help them achieve their financial goals. Paladin is the only SEC registered firm that vets, validates, and documents the quality of financial professionals and firms (since 2003).
View Findings Report

I. Snapshot

A. Registry Member
  • Since 2004
B. Years of Experience
  • 25
C. College Degrees
  • University of Vermont - BS
D. Certifications
  • CMA®, CPA, PFS
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    Helping you achieve your financial objectives is my commitment to you. I am dedicated to this aim by providing outstanding services. As your go-to financial coordinator, you can rest easy that the details are being handled and you will receive a high level of service. Solutions for you can be fully customized and integrated to include advice on investments, taxes and planning.

G. Asset Requirement
  • $250,000

II. Contact Information

A. Key Contact
  • Tanis Carey
B. Main Location
  • 1163 Pittsford-Victor Road
    Suite #130
    Pittsford, New York, 14534
C. Telephone
  • 585.249.5060 ext. 205

III. Internet

B. Social Connections

IV. Firm(s)

A. Name of Firm
  • Compass Wealth, LLC
B. Relationship to Firm
  • Independent Contractor
C. Name of RIA
  • Cetera Investment Advisers LLC
D. Name of Broker/Dealer
  • Cetera Financial Specialists LLC
E. Name(s) of Custodian(s)
  • Charles Schwab Institutional
  • Pershing LLC
  • AssetMark Trust Co (Fidelity Institutional)

V. Credentials

A. Years of Financial Experience
  • 25 Years
B. College, Degrees, Years
  • University of Vermont - BS
D. Financial Industry Associations (Active Memberships)
  • AICPA (Personal Financial Planning/"Money Doctor")
  • NYSSCPA Personal Financial Planning
  • Institute of Management Accountants

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • IAR
B. Type of RIA Registration
  • SEC
C. Industry Licenses
  • Securities License(s)
  • Insurance License(s)
D. Registration & License Numbers
  • CRD: 4011294
  • IARD: 4011294 (same as CRD)
  • Insurance: LA-913489
E. State Licences
  • Financial Advice, Services for Fees: All 50 States
  • Investment Products for Commission: See List
    • Arizona
    • California
    • Connecticut
    • Florida
    • Georgia
    • Massachusetts
    • New Jersey
    • New York
    • North Carolina
    • Oregon
    • Pennsylvania
    • Texas
    • Virginia
  • Insurance Products for Commission: See List
    • Florida
    • New York
    • Pennsylvania
    • Virginia
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • Securities offered through Cetera Financial Specialists LLC (doing insurance business in CA as CFGFS Insurance Agency), member FINRA/SIPC. Advisory services offered through Cetera Investment Advisers... View More
    Securities offered through Cetera Financial Specialists LLC (doing insurance business in CA as CFGFS Insurance Agency), member FINRA/SIPC. Advisory services offered through Cetera Investment Advisers LLC. Cetera entities are under separate ownership from any other named entity. Home offices at 200 N. Martingale Rd., Schaumburg, IL 60173; phone 888.528.2987.
J. View our ADV(s)
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    Helping you achieve your financial objectives is my commitment to you. I am dedicated to this aim by providing outstanding services. As your go-to financial coordinator, you can rest easy that the details are being handled and you will receive a high level of service. Solutions for you can be fully customized and integrated to include advice on investments, taxes and planning.

B. Minimum Asset Requirement
  • $250,000
C. Number of Current Clients
  • Available Upon Request
D. Assets (Management, Advisement)
  • Available Upon Request
E. Methods of Compensation
  • Fixed Fee
  • Asset-Based Fee
  • Commissions (Investment Products)
  • Commissions (Insurance Products)
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Voice
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Bi-Monthly)
  • Newsletters (Bi-Monthly)
  • Other: Periodically communicate with clients about various financial topics.
H. Second Language(s)
  • Spanish
I. Value Statement
  • Not Available

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
  • Business Pension Plans
  • Business (Taxable)
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Insurance Products
  • Tax Advice & Services
  • Other
  • Investment Products (Commission)
C. Discretionary Asset Management
  • Discretionary and Non-Discretionary
D. Limited Engagement Services
  • Financial Plan Reviews
  • Investment Portfolio Reviews
  • Tax Planning

IX. Certification

Advisor Name
  • Robert Chapman
Most Recent Update:
  • Nov 1, 2018

Email Advisor

Other

Estate Planning