Albert Souza has been an investment adviser representative at Compass Financial Management since July 2025, and is not listed among the firm’s executive officers or direct owners.
Compass Financial Management LLC is a Tampa, FL firm with $894M under management, 2,228 clients and 31 advisers across 37 offices, as of its May 2026 filing.
Albert Souza’s longest registration was 4 years at Adams Financial Concepts, LLC (2021–2025). Before joining Compass Financial Management in 2025, Albert Souza was registered through Adams Financial Concepts, LLC and Woodbury Financial Services, Inc.
- – present · 1 yearSeattle, WA · Adviser representative · Firm CRD 156345
- Adams Financial Concepts, LLC– · 4 yearsSeattle, WA · Adviser representative · Firm CRD 134545
- Woodbury Financial Services, Inc.– · 1 yearSeattle, WA · Adviser representative · Firm CRD 421
Investment adviser representative registrations
Albert Souza is registered as an investment adviser representative in Washington, since July 2025.
- WashingtonSince 18 July 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 4 February 2021 |
| Series 65 | Uniform Investment Adviser Law Examination | 25 September 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 24 February 2009 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 December 2008 |
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Albert Daniel Souza
- CRD
- 5571527
- Firm
- Compass Financial Management · CRD 156345
- Office
- 6525 15th Ave NW, Seattle, WA 98117
- Registration
- Investment adviser registration
- In the industry since
- February 2009
- Disciplinary history
- Not yet shown here · SEC record
Where does Albert Souza work?
Albert Souza is an investment adviser representative registered through Compass Financial Management LLC since July 2025, and is not listed among the firm’s executive officers or direct owners.
Is Albert Souza a financial advisor?
Yes. Albert Souza has a current investment-adviser registration in Washington, through Compass Financial Management since July 2025.
How many years of experience does Albert Souza have?
Albert Souza has 17 years in the financial industry, since February 2009, across 3 adviser firms.
What exams has Albert Souza passed?
Albert Souza has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7TO. The earliest, the Series 6, was passed in December 2008. FINRA credited Albert Souza with the SIE, which began in October 2018.
Where did Albert Souza work before Compass Financial Management?
Before Compass Financial Management, Albert Souza was registered through Woodbury Financial Services, Inc., September 2019 to May 2021.
Where is Albert Souza based?
Albert Souza’s registered office is in Seattle, WA.
Is Albert Souza registered with FINRA?
No. Albert Souza has no current broker registration.
How can I verify Albert Souza’s record?
Search CRD 5571527 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Albert Souza’s full registration record.
- Matthew MarkowskiDirector/CCO/Managing Member
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