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Neczar Sarouli

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CRD#: 6262987
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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Neczar Sarouli was a registered financial professional .

Neczar is a previously registered financial professional and started their career in finance in 2013. Neczar had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 20, 2021 - March 22, 2023

COMPOUND ADVISERS, INC.

RIA
CRD#: 306341
Oakland, CA
Past

October 30, 2020 - April 5, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
SAN FRANCISCO, CA
Past

July 2, 2020 - September 8, 2020

SVB INVESTMENT SERVICES INC.

BD
CRD#: 168116
SAN FRANCISCO, CA
Past

July 27, 2018 - September 8, 2020

SVB INVESTMENT SERVICES INC.

RIA
CRD#: 168116
SAN FRANCISCO, CA
Past

November 14, 2016 - July 19, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
SAN FRANCISCO, CA
Past

October 28, 2016 - July 19, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
SAN FRANCISCO, CA
Past

May 4, 2015 - November 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAN FRANCISCO, CA
Past

May 4, 2015 - November 1, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SAN FRANCISCO, CA
Past

May 29, 2014 - May 6, 2015

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
SAN FRANCISCO, CA
Past

May 29, 2014 - May 6, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SAN FRANCISCO, CA
Past

December 17, 2013 - February 25, 2014

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/3/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/2013
General Securities Representative Examination

Current Firm

CA
COMPOUND ADVISERS, INC.
COMPOUND ADVISERS, INC.

CRD#: 306341 / SEC#: 801-122303

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Contact information

Main Address
580 Market Street #300, San Francisco, CA 94104
Mailing Address
2261 Market Street #4013, San Francisco, CA 94114
Phone number
(415) 417-1180
Established
Firm type
Fiscal year end
# of Employees
55

Documents

Latest Form ADV

Part 2 Brochures

COMPOUND ADVISERS ADV PART 2A (3/29/2023)

Regulatory assets under management

Total Number of Accounts339
AUM (Assets Under Management)$ 316,852,631

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.

Company Information

COMPOUND ADVISERS, INC.

CRD#: 306341

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