William D. Burns

COMPOUND PLANNING

Mary Esther, FL

Some features on this profile are disabled

CRD#: 1744281

Professional summary

William Dennis Burns, who also goes by Bill Burns, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Mary Esther, Florida.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. William has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Burns

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.INSURANCE CONSULTING SERVICES; DBA FINANCIAL & INSURANCE SERVICES 151 MARY ESTHER BLVD, STE 407 MARY ESTHER, FL 32569. STARTED JAN 1986. SELL LIFE, FIXED ANNUITIES AND LTC INSURANCE. HELP CLIENTS QUALIFY FOR MEDICAID AND VETERAN'S ADMINISTRATION BENEFITS. 2.VMJ LEGACY I, LLC, MANAGING PARTNER - 151 MARY ESTHER BLVD, STE 407 MARY ESTHER, FL 32569 - LEASING/RENTING RESIDENTIAL REAL ESTATE. COLLECT RENT, SUPERVISING AND/OR PROVIDING MAINTENANCE TO PROPERTIES. 3.SANTA ROSA EXECUTIVE PLAZA - 151 MARY ESTHER BLVD (SUITES 101-510), MARY ESTHER, FL 32569. BOARD MEMBER FOR THE OFFICE COMPLEX ASSOCIATION. THE BOARD MEETS 4-6 TIMES PER YEAR TO DISCUSS THE MAINTENANCE AND UPKEEP OF OUR OFFICE COMPLEX AND TO VOTE ON PROPOSED REPAIRS/MODIFICATIONS TO THE OFFICE COMPLEX.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Dennis Burns's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 26, 2022 - Present

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Mary Esther, FL

Past

October 24, 2016 - December 6, 2022

CLARAPHI ADVISORY NETWORK, LLC

RIA

CRD#: 165868

Mary Esther, FL

Past

January 27, 2016 - September 30, 2016

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

MARY ESTHER, FL

Past

April 20, 2005 - September 30, 2016

USA FINANCIAL SECURITIES LLC

CRD#: 103857

MARY ESTHER, FL

Past

January 1, 2004 - May 3, 2005

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

December 1, 1997 - January 1, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 1, 1996 - December 1, 1997

FORTH FINANCIAL SECURITIES, CORPORATION

CRD#: 14363

RICHMOND, VA

Past

August 25, 1994 - February 26, 1996

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

April 12, 1994 - August 5, 1994

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

May 18, 1992 - December 31, 1993

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

July 24, 1991 - December 20, 1991

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

June 20, 1989 - December 31, 1990

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

COMPOUND PLANNING, INC.

CRD#: 171787 / SEC#: 801-126007

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

California

Registered Investment Advisory firm - (8/13/2022 Terminated)

Ohio

Registered Investment Advisory firm - (7/14/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(9/26/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/25/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Current Firm

COMPOUND PLANNING, INC.

CRD#: 171787 / SEC#: 801-126007

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

California

Registered Investment Advisory firm - (8/13/2022 Terminated)

Ohio

Registered Investment Advisory firm - (7/14/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

115 Broadway 5th Floor, New York, NY 10006

Mailing Address

169 Madison Avenue Suite 15201, New York, NY 10016

Phone number

(888) 533-9364

Established

Firm type

Fiscal year end

# of Employees

104

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPOUND PLANNING-FORM ADV, PART 2A BROCHURE (9/29/2025)

Regulatory assets under management

Total Number of Accounts	6,372
AUM (Assets Under Management)	$ 3,025,356,111

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William D. Burns

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Dennis Burns's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLARAPHI ADVISORY NETWORK, LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

CETERA FINANCIAL SPECIALISTS LLC

CAPITAL BROKERAGE CORPORATION

FORTH FINANCIAL SECURITIES, CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

MARINER FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2016

SIE

Date: 9/30/2016

Series 7

Date: 6/17/1989

Current Firm

COMPOUND PLANNING, INC.

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPOUND PLANNING, INC.

TRUST BUT VERIFY

Similar Advisors