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Nicholas Giovanni Garcia

Compound Planning

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About Nicholas Giovanni Garcia

Nicholas Garcia is an investment advisor representative with Compound Planning. Nicholas has been in the industry for over 10 years and has experience working with a variety of clients, including individuals and families. Nicholas is registered to provide investment advice in California, Nevada, New York, Texas, and Washington. Nicholas has a Series 7, Series 66, and SIE licenses.

Firm Information

Nicholas Garcia 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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Nicholas Garcia’s Registration & Firm History

NY

06/10/2024 - Present

Compound Planning (NEW YORK NY)

CA

04/30/2018 - 10/12/2020

FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)

CA

03/31/2014 - 09/17/2014

MML INVESTORS SERVICES, LLC (WALNUT CREEK CA)

AZ

08/21/2012 - 12/06/2013

AXA ADVISORS, LLC (SCOTTSDALE AZ)

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Licenses & Designations

BC

Issued 04/29/2019

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 09/04/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/29/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Nicholas Giovanni Garcia.
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