Hans-christian Winkler

COMPOUND PLANNING

Jackson Heights, NY 11372

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CRD#: 2966966

Professional summary

Hans-christian Winkler, CFP®, who also goes by Hanschristian Winkler, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Jackson Heights, New York.

Hans-christian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Hans-christian has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hanschristian Winkler

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) HANS-CHRISTIAN WINKLER LOCATED IN JACKSON HEIGHTS, NY., INSURANCE AGENT/SALES, NOT INVESTMENT RELATED, 8HRS/MO, 4 DURING TRADING HRS. START 10/2007. (2) JAC TOWERS, INC., LOCATED IN JACKSON HEIGHTS, NY., PRESIDENT OF CO-OP. THIS IS NOT INVESTMENT RELATED. 3 HRS/MO., NONE DURING TRADING HOURS. START 6/2012. (3) WINKLER WEALTH LOCATED IN JACKSON HEIGHTS, NY; INVESTMENT RELATED; DBA FOR WEALTH MANAGEMENT SERVICES. (2) Winkler Wealth-approved DBA for Investment Advisory Business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hans-christian Winkler'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

September 7, 2022 - Present

COMPOUND PLANNING, INC.

Office #1: 35-05 72nd Street, Jackson Heights, NY 11372

RIA

CRD#: 171787

Jackson Heights, NY

Past

October 28, 2015 - September 7, 2016

LEGEND SECURITIES, INC.

CRD#: 44952

NEW YORK, NY

Past

August 5, 2013 - December 6, 2022

CLARAPHI ADVISORY NETWORK, LLC

RIA

CRD#: 165868

New York, NY

Past

September 21, 2004 - August 5, 2013

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEW YORK, NY

Past

December 12, 2002 - August 5, 2013

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

June 3, 2002 - December 14, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

NEW YORK, NY

Past

October 22, 2001 - December 14, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

May 15, 1998 - November 15, 2001

SANDS BROTHERS & CO., LTD.

CRD#: 26816

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

California
(6/17/2024)

IAR

New York
(9/7/2022)

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 65

Date: 9/10/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2009

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/28/2002

Registered Options Principal 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)

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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)

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.

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Firm Stability Insights

Hans-christian Winkler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hans-christian Winkler's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGEND SECURITIES, INC.

CLARAPHI ADVISORY NETWORK, LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

SANDS BROTHERS & CO., LTD.

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/2001

Series 63

Date: 4/16/1998

SIE

Date: 9/7/2016

Series 7

Date: 4/11/1998

Series 24

Date: 5/18/2009

Series 4

Date: 1/28/2002

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

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