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Alan Scott Ward

Compound Planning, Inc.

Birmingham, AL

New York, NY

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Current Employers
Compound Planning, Inc.

115 Broadway 5Th Floor, New York, NY 10006 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2024-04-19
  • AL RA
    APPROVED
    Since 2024-04-19

Branch Locations

Birmingham, AL • United States

115 Broadway 5Th Floor, New York, NY 10006 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Johnson Sterling, Inc. Birmingham AL 12/2012 04/2024
Compound Planning New York NY 04/2024 Present
  • 12/2012 → 04/2024
    Johnson Sterling, Inc.
    Birmingham, AL
  • 04/2024 → Present
    Compound Planning
    New York, NY
Previous Registrations
  • 2013-01-02 → 2024-04-29
    Johnson Sterling, Inc.
    Birmingham, AL
  • 2003-01-28 → 2003-06-16
    Legg Mason Wood Walker, Incorporated
    Birmingham, AL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-27
S63 Uniform Securities Agent State Law Examination 2000-04-24
  • S65 Uniform Investment Adviser Law Examination
    2003-01-27
  • S63 Uniform Securities Agent State Law Examination
    2000-04-24
Designations

View on SEC IAPD

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