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Norman Ellsworth Mains

Compound Planning, Inc.

Dana Point, CA

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
CA RA APPROVED 2025-11-18
  • CA RA
    APPROVED
    Since 2025-11-18

Branch Locations

24661 Del Prado Ave Suite #5, Dana Point, CA 92629 • 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
Claraphi Advisory Network, Llc Dana Point CA 06/2016 Present
Newbridge Securities Corporation Dana Point CA 06/2016 01/2018
Alternativ Wealth Irvine CA 06/2023 Present
  • 06/2016 → Present
    Claraphi Advisory Network, Llc
    Dana Point, CA
  • 06/2016 → 01/2018
    Newbridge Securities Corporation
    Dana Point, CA
  • 06/2023 → Present
    Alternativ Wealth
    Irvine, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-29
S63 Uniform Securities Agent State Law Examination 1994-02-16
  • S66 Uniform Combined State Law Examination
    2015-06-29
  • S63 Uniform Securities Agent State Law Examination
    1994-02-16
Other Names
  • Norman Ellsworth Mains

View on SEC IAPD

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COLTEN MICHAEL FRANCO
BETTY AHN

Other Offices

PLANMEMBER SECURITIES CORPORATION · DANA POINT, CA
EDWARD JONES · DANA POINT, CA
LPL FINANCIAL LLC · DANA POINT, CA
LIFE BY DESIGN INVESTMENT ADVISORY SERVICES · DANA POINT, CA
&PARTNERS · Dana Point, CA
LIFE BY DESIGN INVESTMENT ADVISORY SERVICES · Dana Point, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · DANA POINT, CA
LPL FINANCIAL LLC · DANA POINT, CA

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