NG
Nicholas G. Garcia
COMPOUND PLANNING
San Diego, CA
Some features on this profile are disabled
CRD#: 6091282
NG
Professional summary
Nicholas Giovanni Garcia, who also goes by Giovanni Garcia, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in San Diego, California.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Nicholas has worked at 7 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Giovanni Garcia
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) I am a registered representative of First Republic Securities Company, LLC, an SEC and FINRA registered broker-dealer. I am an associated person of First Republic Investment Management, Inc. (Firm CRD# 108559), an SEC registered investment adviser. The majority of my time is devoted to activities for First Republic Investment Management, Inc. Both First Republic Securities Company, LLC and First Republic Investment Management, Inc. are under 'common control' of First Republic Bank.
2) Name: San Francisco Child Abuse Prevention Center
Address: San Francisco, California
Investment-related: No
Nature of the Business: child advocacy organization
Role: educational
Description of Duties: Providing 101 seminars on financial planning to the families they assist
Start Date: July 2017
Number of hours each month: 4 hours
Number of hours during trading: 0
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Giovanni Garcia'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
October 25, 2023 - Present
COMPOUND PLANNING, INC.
RIA
CRD#: 171787
San Diego, CA
Past
October 13, 2020 - November 27, 2023
COMPOUND ADVISERS, INC.
RIA
CRD#: 306341
OAKLAND, CA
Past
April 30, 2018 - October 12, 2020
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
SAN FRANCISCO, CA
Past
January 12, 2017 - October 12, 2020
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
RIA
CRD#: 108559
SAN FRANCISCO, CA
Past
October 1, 2014 - January 9, 2017
MORLING FINANCIAL ADVISORS, LLC
RIA
CRD#: 111819
SAN FRANCISCO, CA
Past
May 2, 2014 - September 17, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WALNUT CREEK, CA
Past
March 31, 2014 - September 17, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WALNUT CREEK, CA
Past
November 20, 2012 - December 6, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SCOTTSDALE, AZ
Past
August 21, 2012 - December 6, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SCOTTSDALE, 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
California(10/25/2023)
IAR
Nevada(6/11/2024)
IAR
New York(6/10/2024)
IAR
Texas(10/25/2023)
IAR
Washington(6/10/2024)
Exams
State Security Law Exam
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
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.
