JM
John P. Mcauliffe
COMPOUND PLANNING
Richmond, VA
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CRD#: 6703658
JM
Professional summary
John Patrick Mcauliffe is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Richmond, Virginia.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. John has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 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.
1) CAPITAL FINANCIAL SOLUTIONS POSITION: Retirement Plan Consultant NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/11/2022 ADDRESS: 8816 Six Forks Road, Suite 301, Raleigh NC 27615, United States DESCRIPTION: I am an assistant to registered representatives of the Firm and assist them with their business 2) PORTER STREET FLATS CONDOMINIUM POSITION: Director NATURE: Corporation/Condo Board INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/26/2022 ADDRESS: 116 E Franklin St, Suite 100, Richmond VA 23219, United States DESCRIPTION: Attend quarterly meetings and annual meeting, communicate with other directors, help make community decisions
CRS (Client Relationship Summary) - RIA
Click below to view John Patrick Mcauliffe'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 2, 2024 - Present
COMPOUND PLANNING, INC.
RIA
CRD#: 171787
Richmond, VA
Past
September 1, 2022 - January 31, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HENRICO, VA
Past
August 26, 2022 - January 31, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
HENRICO, VA
Past
May 18, 2018 - December 7, 2020
RAFFA INVESTMENT ADVISERS
RIA
CRD#: 136971
WASHINGTON, DC
Past
May 26, 2017 - April 11, 2018
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
FAIRFAX, VA
Past
May 5, 2017 - April 11, 2018
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
FAIRFAX, VA
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
Virginia(12/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/26/2022
General Securities Representative ExaminationGeneral 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.
