Lance I. Lehman

COMPOUND PLANNING

Tampa, FL

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CRD#: 4578125

Professional summary

Lance I Lehman, CFP®, CIMA®, CPWA® is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Tampa, Florida.

Lance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Lance has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 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 Lance I Lehman'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: 2021

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2020-06-29

Expire date: 2024-09-30

Experience

Current

February 1, 2023 - Present

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Tampa, FL

Past

November 23, 2021 - January 5, 2023

ARS WEALTH ADVISORS

RIA

CRD#: 314882

ST. PETERSBURG, FL

Past

September 19, 2007 - October 27, 2021

FISHER INVESTMENTS

RIA

CRD#: 107342

TAMPA, FL

Past

February 2, 2005 - June 26, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

HORSEHEADS, NY

Past

October 2, 2002 - January 11, 2005

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 2, 2002 - January 12, 2005

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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
(2/16/2023)

IAR

Minnesota
(6/11/2024)

IAR

New Hampshire
(2/1/2023)

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: 9/12/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/31/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/1/2002

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Lance I. Lehman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lance I Lehman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARS WEALTH ADVISORS

FISHER INVESTMENTS

HSBC SECURITIES (USA) INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2007

Series 63

Date: 10/25/2002

Series 7

Date: 10/31/2003

Series 6

Date: 10/1/2002

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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