RM
Roxana S. Maddahi
COMPOUND PLANNING
Los Angeles, CA
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CRD#: 5400917
RM
Professional summary
Roxana Sanam Maddahi, who also goes by Roxana Sanam Yaghoubzadeh, Roxane Sanam Yaghoubzadeh, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Los Angeles, California.
Roxana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Roxana has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roxana Sanam Yaghoubzadeh | Roxane Sanam Yaghoubzadeh
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. Looking Beyond LA, 2934 1/2 Beverly Glen Circle #224, Los Angeles, CA 90077, not investment related, Non-Profit, Enriches the lives of children and young adults with disabilities, Board Member, since 2014, 8 hrs per month, 0 hrs during trading hrs, organizing events & fundraising. 2. Looking Beyond Next Gen, 2934 1/2 Beverly Glen Circle #224, Los Angeles, CA 90077, not investment related, Non-Profit, Enriches the lives of children and young adults with disabilities, President, since 2014, 12 hrs per month, 0 hrs during trading hrs, organize the group, plan fundraising events and distribute proceeds. 3. Eyeball, investment related, Fintech start-up that is looking to build a financial news source, Content creator; since September 2023, 4 hrs per month, 0 hrs during trading hrs, create exclusive video content, consult on investment questions. 4. Sinai Akiba Synagogue,10400 Wilshire Blvd, Los Angeles, CA 90024, not investment related, Synagogue, place of worship, Teacher, since September 2023, 4 hrs per month, 0 hrs during trading hrs, teaches a course about Philanthropy to 9th graders that are part of a leadership fellowship program. 5. Sinai Akiba Academy,10400 Wilshire Blvd, Los Angeles, CA 90024, investment related, School, Board Member, since 2016, 4 hrs per month, 0 hrs during trading hrs, evaluates the quality of our investment managers, reviews account allocation and performance.
CRS (Client Relationship Summary) - RIA
Click below to view Roxana Sanam Maddahi'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
December 6, 2023 - Present
COMPOUND PLANNING, INC.
RIA
CRD#: 171787
Los Angeles, CA
Past
December 1, 2015 - December 13, 2023
STEELPEAK WEALTH, LLC
RIA
CRD#: 165168
WOODLAND HILLS, CA
Past
July 1, 2013 - December 3, 2015
MORGAN STANLEY
RIA
CRD#: 149777
LOS ANGELES, CA
Past
June 28, 2013 - December 3, 2015
MORGAN STANLEY
BD
CRD#: 149777
LOS ANGELES, CA
Past
June 8, 2010 - July 25, 2012
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW YORK, NY
Past
January 12, 2010 - July 25, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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".
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.Highlighted states indicate IAR registrations
IAR
California(12/6/2023)
IAR
New York(12/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
