RG
Richard J. Gow
COMPOUND PLANNING
Pompano Beach, FL
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CRD#: 2350424
RG
Professional summary
Richard James Gow, who also goes by Rick Gow, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Pompano Beach, Florida and DEMPSEY LORD SMITH, LLC located in Rome, Georgia.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 9 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Gow
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.
Managing Member of Life Plan Retirement Partners, LLC since May 2019 which is used as a dba to market my wealth management, financial planning, and insurance services. I am also a Life Settlement and Long-Term Care Insurance agent. Compound Planning, Independent RIA, Investment Related, Registered Investment Advisor, Start: 11/30/2023, Non-Broker Insurance Products Gow Education, Investment Related, Education Services related to investing, 100% Owner, Start: 6/5/2019, 8 hours during trading hours Estate Planning Team, Investment Related, Estate and Legal tax advice, Independent Agent, Start: 6/23/2021, 5 hours per Month United American Insurance Company, insurance special focused products (Accident, Final Expense, Critical Illness) that are all non-broker related, Independent agent, 2 hrs/month 0 during trading, start: 6/29/23 White Glove Innovations, wife's website business, non-investment related
CRS (Client Relationship Summary) - RIA
Click below to view Richard James Gow's 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®
NoneExperience
Current
September 21, 2022 - Present
COMPOUND PLANNING, INC.
RIA
CRD#: 171787
Pompano Beach, FL
Current
May 16, 2019 - Present
DEMPSEY LORD SMITH, LLC
Office #1: 901 N Broad Street Suite 400, Rome, GA 30161Office #2: 901 N Broad Street Suite 400, Rome, GA 30161RIA
BD
CRD#: 141238
ROME, GA
Past
March 1, 2021 - April 12, 2024
DEMPSEY LORD SMITH, LLC
RIA
CRD#: 141238
POMPANO BEACH, FL
Past
August 26, 2019 - September 30, 2022
CLARAPHI ADVISORY NETWORK, LLC
RIA
CRD#: 165868
POMPANO BEACH, FL
Past
June 3, 2019 - March 1, 2021
FISCAL WISDOM WEALTH MANAGEMENT LLC
RIA
CRD#: 168299
Pompano Beach, FL
Past
February 1, 2019 - May 17, 2019
XML FINANCIAL GROUP
RIA
CRD#: 284987
Pompano Beach, FL
Past
March 19, 2010 - February 1, 2019
XML SECURITIES
RIA
CRD#: 145589
Pompano Beach,, FL
Past
March 19, 2010 - May 17, 2019
XML SECURITIES
BD
CRD#: 145589
BETHESDA, MD
Past
June 1, 2009 - March 25, 2010
MORGAN STANLEY
RIA
CRD#: 149777
RESTON, VA
Past
June 1, 2009 - March 25, 2010
MORGAN STANLEY
BD
CRD#: 149777
RESTON, VA
Past
May 3, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
RESTON, VA
Past
April 6, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
RESTON, VA
Past
September 9, 1993 - October 21, 1994
PFS INVESTMENTS INC.
BD
CRD#: 10111
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".
CP
COMPOUND PLANNING, INC.
ALTERNATIV WEALTH | SHOPOFF PRIVATE CLIENT GROUP | COMPOUND PLANNING, INC. | COMPOUND PLANNING | ATOMI PRIVATE CLIENT GROUP | ATOMI FINANCIAL GROUP, INC. | ATOMI FINANCIAL GROUP | ATOMI FINANCIAL ADVISORS | ATOMI ASSET MANAGEMENT
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)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/9/2021)
RR
Colorado(5/16/2019)
RR
District of Columbia(5/16/2019)
RR
Florida(5/16/2019)
IAR
Florida(9/21/2022)
RR
Maryland(5/16/2019)
RR
Massachusetts(5/16/2019)
RR
North Carolina(1/19/2023)
RR
South Carolina(5/16/2019)
RR
Virginia(5/16/2019)
IAR
Virginia(11/6/2024)
RR
Wisconsin(1/13/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CP
COMPOUND PLANNING, INC.
ALTERNATIV WEALTH | SHOPOFF PRIVATE CLIENT GROUP | COMPOUND PLANNING, INC. | COMPOUND PLANNING | ATOMI PRIVATE CLIENT GROUP | ATOMI FINANCIAL GROUP, INC. | ATOMI FINANCIAL GROUP | ATOMI FINANCIAL ADVISORS | ATOMI ASSET MANAGEMENT
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
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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)
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.
