JAMES M. TAYLOR
COMPOUND PLANNING | Wealth Advisor
Mesa, AZ
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CRD#: 5990534
Professional summary
JAMES MICHAEL TAYLOR, CFP®, who also goes by James M Taylor, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Mesa, Arizona.
JAMES is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. JAMES has worked at 8 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.
Biography
James began his professional career in 2005. Prior to joining Mercer Advisors, he worked in insurance and risk management, then made a career change to financial planning in 2011. He has been an advisor at several wealth management firms, most recently Cable Hill Partners. James uses his broad background and experience in multiple roles in helping clients achieve fulfillment and financial peace of mind. He graduated magna cum laude with a Bachelor of Science in Business Administration from Arizona State University and holds the CERTIFIED FINANCIAL PLANNER™ certification. He enjoys spending time with his wife Tanya and their two children. They are proud to call Arizona home.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Insurance Planning
Estate Planning
Retirement Planning
Tax Planning
Investment Planning
Employee and Employer Plan Ben...
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
James M Taylor
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.
CRS (Client Relationship Summary) - RIA
Click below to view JAMES MICHAEL TAYLOR'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®
CFP®
Start date: 2015
Experience
Current
June 23, 2025 - Present
COMPOUND PLANNING, INC.
RIA
CRD#: 171787
Mesa, AZ
Past
July 27, 2021 - June 26, 2025
MERCER GLOBAL ADVISORS INC.
RIA
CRD#: 147363
Scottsdale, AZ
Past
December 26, 2018 - April 19, 2021
CABLE HILL PARTNERS, LLC
RIA
CRD#: 168252
PORTLAND, OR
Past
April 4, 2018 - December 20, 2018
VERSANT CAPITAL MANAGEMENT, INC.
RIA
CRD#: 131692
PHOENIX, AZ
Past
September 14, 2015 - December 1, 2017
BRIGHTON JONES LLC
RIA
CRD#: 108601
Scottsdale, AZ
Past
May 24, 2013 - July 22, 2015
TAYLOR FINANCIAL, LLC
RIA
CRD#: 167743
GILBERT, AZ
Past
October 10, 2012 - April 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHANDLER, AZ
Past
September 20, 2012 - April 18, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHANDLER, AZ
Past
January 25, 2012 - August 31, 2012
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
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
Arizona(6/23/2025)
IAR
New Mexico(6/24/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law 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.
