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Nicholas Giovanni Garcia

Compound Planning, Inc.

New York, NY

San Diego, CA

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Current Employers
Compound Planning, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-12-12
NV RA APPROVED 2025-12-12
NY RA APPROVED 2024-06-10
WA RA APPROVED 2024-06-10
TX RA APPROVED 2023-10-25
  • CA RA
    APPROVED
    Since 2025-12-12
  • NV RA
    APPROVED
    Since 2025-12-12
  • NY RA
    APPROVED
    Since 2024-06-10
  • WA RA
    APPROVED
    Since 2024-06-10
  • TX RA
    APPROVED
    Since 2023-10-25

Branch Locations

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

San Diego, CA • 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
Morling Financial Advisors, Llc San Francisco CA 09/2014 12/2016
First Republic Investment Management, Inc. San Francisco CA 01/2016 10/2020
First Republic Securities, Co. San Francisco CA 01/2017 10/2020
Compound Advisers, Inc San Francisco CA 10/2020 10/2023
Compound Planning New York NY 10/2023 Present
  • 09/2014 → 12/2016
    Morling Financial Advisors, Llc
    San Francisco, CA
  • 01/2016 → 10/2020
    First Republic Investment Management, Inc.
    San Francisco, CA
  • 01/2017 → 10/2020
    First Republic Securities, Co.
    San Francisco, CA
  • 10/2020 → 10/2023
    Compound Advisers, Inc
    San Francisco, CA
  • 10/2023 → Present
    Compound Planning
    New York, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-04-29
S66 Uniform Combined State Law Examination 2012-09-04
  • S63 Uniform Securities Agent State Law Examination
    2019-04-29
  • S66 Uniform Combined State Law Examination
    2012-09-04
Other Names
  • Giovanni Garcia

View on SEC IAPD

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