Alan S. Ward

COMPOUND PLANNING

Birmingham, AL

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CRD#: 4145290

Professional summary

Alan Scott Ward, AIF®, CFP® is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Birmingham, Alabama.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Alan has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Scott Ward'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

April 19, 2024 - Present

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Birmingham, AL

Past

January 2, 2013 - April 29, 2024

JOHNSON STERLING, INC.

RIA

CRD#: 106379

BIRMINGHAM, AL

Past

November 1, 2010 - November 15, 2012

GUIDESTONE FINANCIAL SERVICES

CRD#: 148249

DALLAS, TX

Past

October 6, 2006 - December 31, 2008

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

June 19, 2003 - August 31, 2005

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

January 28, 2003 - June 16, 2003

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

BIRMINGHAM, AL

Past

July 11, 2001 - June 16, 2003

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

April 30, 2001 - June 29, 2001

NBC SECURITIES, INC.

CRD#: 17870

BIRMINGHAM, AL

Past

April 11, 2000 - April 30, 2001

REGIONS INVESTMENT COMPANY, INC.

CRD#: 17618

BIRMINGHAM, AL

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

Alabama
(4/19/2024)

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: 1/27/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/10/2000

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)

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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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Alan S. Ward

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Scott Ward's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHNSON STERLING, INC.

GUIDESTONE FINANCIAL SERVICES

FORESIDE FUNDS DISTRIBUTORS LLC

FORESIDE FUNDS DISTRIBUTORS LLC

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

NBC SECURITIES, INC.

REGIONS INVESTMENT COMPANY, INC.

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/2003

Series 63

Date: 4/24/2000

Series 7

Date: 4/10/2000

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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