Mark Fleming has been an investment adviser representative at Compass Financial Management since July 2024, and is not listed among the firm’s executive officers or direct owners. Mark Fleming holds a Bachelor of Science in Management with a concentration in Finance from Purdue Krannert School of Management.
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.
Mark Fleming is Partner, Director of Financial Planning and Wealth Advisor at Fortified Wealth Management, a practice listed among the advisors of Compass Financial Management. He joined Fortified Wealth Management in 2024 after a career working with high-net-worth clients on wealth management, tax and complex financial planning issues. He works with clients to develop and implement financial plans and provides guidance on complex tax, estate planning and investment strategy issues.
Mark Fleming’s longest registration was 5 years at Sentinus, LLC (2018–2023). Before joining Compass Financial Management in 2024, Mark Fleming was registered through Paradigm Wealth Management, LLC and Sentinus, LLC.
- – present · 2 yearsOak Brook, IL · Adviser representative · Firm CRD 156345
- Paradigm Wealth Management, LLC– · under a yearOak Brook, IL · Adviser representative · Firm CRD 148662
- Sentinus, LLC– · 5 yearsElmurst, IL · Adviser representative · Firm CRD 162442
- Strategic Wealth Partners, LLC– · under a yearDeerfield, IL · Adviser representative · Firm CRD 147168
Professional designations
Listed by Compass Financial Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Public Accountant (CPA)
Investment adviser representative registrations
Mark Fleming is registered as an investment adviser representative in Illinois, since July 2024.
- IllinoisSince 16 July 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 31 January 2008 |
| Series 7 | General Securities Representative Examination | 15 January 2008 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mark Alan Fleming
- CRD
- 5403100
- Firm
- Compass Financial Management · CRD 156345
- Office
- 700 COMMERCE DRIVE, SUITE #500, Oak Brook, IL 60523
- Registration
- Investment adviser registration
- In the industry since
- February 2018
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compassfmllc.com
Where does Mark Fleming work?
Mark Fleming is an investment adviser representative registered through Compass Financial Management LLC since July 2024, and is not listed among the firm’s executive officers or direct owners.
Is Mark Fleming a financial advisor?
Yes. Mark Fleming has a current investment-adviser registration in Illinois, through Compass Financial Management since July 2024.
How many years of experience does Mark Fleming have?
Mark Fleming has 8 years in the financial industry, since February 2018, across 4 adviser firms.
What exams has Mark Fleming passed?
Mark Fleming has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in January 2008.
Where did Mark Fleming work before Compass Financial Management?
Before Compass Financial Management, Mark Fleming was registered through Sentinus, LLC, March 2018 to September 2023; Strategic Wealth Partners, LLC, October 2012 to October 2012.
Where is Mark Fleming based?
Mark Fleming’s registered office is in Oak Brook, IL.
Is Mark Fleming registered with FINRA?
No. Mark Fleming has no current broker registration.
Is Mark Fleming a CFP?
Compass Financial Management lists Mark Fleming with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Mark Fleming’s record?
Search CRD 5403100 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mark Fleming’s full registration record.
- Matthew MarkowskiDirector/CCO/Managing Member
- Michael MarkowskiDirector/Managing Member
- Christopher MarkowskiDirector/Managing Member