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Alan Scott Ward

Compound Planning

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About Alan Scott Ward

Alan Ward is a Registered Investment Advisor (RIA) with Compound Planning. Alan is a Certified Financial Planner™ professional with more than 20 years of experience in the financial services industry. Alan is registered in Alabama and has a background in portfolio management for individuals and businesses. Alan is committed to helping clients achieve their financial goals and is passionate about providing personalized financial advice.

Firm Information

Alan Ward is currently registered with Compound Planning. Compound Planning is an investment advisor registered with the SEC and headquartered in NEW YORK, NY. The firm manages approximately $1 billion - $10 billion in assets for individuals and high-net-worth individuals. They offer financial planning, portfolio management, and educational seminars.
Compound Planning

115 BROADWAY

NEW YORK, NY 10006

$1.40B

Assets Under Management

217

Total Clients

55

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Selection of other advisers

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Alan Ward’s Registration & Firm History

AL

04/19/2024 - Present

Compound Planning (Birmingham AL)

TX

11/01/2010 - 11/15/2012

GUIDESTONE FINANCIAL SERVICES (DALLAS TX)

ME

10/06/2006 - 12/31/2008

PFPC DISTRIBUTORS, INC. (PORTLAND ME)

ME

06/19/2003 - 08/31/2005

PFPC DISTRIBUTORS, INC. (PORTLAND ME)

MD

07/11/2001 - 06/16/2003

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

AL

04/30/2001 - 06/29/2001

NBC SECURITIES, INC. (BIRMINGHAM AL)

AL

04/11/2000 - 04/30/2001

REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)

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Licenses & Designations

IA

Issued 01/27/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/24/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/10/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Alan Scott Ward.
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