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Norman Ellsworth Mains

Compound Planning

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About Norman Ellsworth Mains

Norman Ellsworth Mains is an active Investment Advisor Representative with Compound Planning. Norman has been in the industry since 1991 and has a variety of experience. Norman has worked for a number of firms including Robert W. Baird & Co. Incorporated, RBC Dain Rauscher Inc., and Newbridge Securities Corporation. Norman is currently registered with the state of California.

Firm Information

Norman Mains 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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Norman Mains’s Registration & Firm History

CA

01/01/2025 - Present

Compound Planning (Dana Point CA)

CA

06/22/2016 - 01/31/2018

NEWBRIDGE SECURITIES CORPORATION (DANA POINT CA)

CA

11/02/2007 - 05/25/2016

ROBERT W. BAIRD & CO. INCORPORATED (DANA POINT CA)

CA

04/01/1999 - 10/09/2007

RBC DAIN RAUSCHER INC. (NEWPORT BEACH CA)

CT

11/11/1994 - 04/01/1999

ABN AMRO INCORPORATED (STAMFORD CT)

IL

03/23/1994 - 11/28/1994

ABN AMRO INVESTMENT SERVICES, INC. (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 06/29/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/16/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/31/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/07/1994

Series 7 - General Securities Representative Examination

BC

Issued 08/21/1991

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Norman Ellsworth Mains.
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