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Beau Michael Simon

Compound Planning

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About Beau Michael Simon

Beau Michael Simon is a financial advisor with Compound Planning. Beau has been a registered representative for over 7 years and holds Series 6, 7, 63 and 65 licenses. Beau is a Certified Financial Planner™ professional and specializes in financial planning, portfolio management for businesses and individuals, educational seminars, publication of periodicals and selection of other advisors. Previous employers include LPL Financial LLC, Northwestern Mutual Investment Services, LLC, Gerber Kawasaki Wealth & Investment Management, Empower Advisory Group, LLC, and Personal Capital Advisors.

Firm Information

Beau Simon 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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Beau Simon’s Registration & Firm History

NY

06/10/2024 - Present

Compound Planning (NEW YORK NY)

CA

01/09/2017 - 08/30/2017

LPL FINANCIAL LLC (SANTA MONICA CA)

CA

09/28/2016 - 11/08/2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NEWPORT BEACH CA)

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Licenses & Designations

IA

Issued 01/16/2017

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/07/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/30/2017

SIE - Securities Industry Essentials Examination

BC

Issued 05/05/2017

Series 7 - General Securities Representative Examination

BC

Issued 09/27/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Beau Michael Simon.
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