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ALEC ANDY MONTOYA

ALEC A. MONTOYA

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CRD#: 6215720
ALEC ANDY MONTOYA

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

ALEC ANDY MONTOYA, CFP®, who also goes by Alec Montoya, was a registered financial professional .

ALEC is a previously registered financial professional and started their career in finance in 2015. ALEC had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

Alec began his financial services career in 2014 and joined Mercer Advisors in 2017. He graduated from Colorado State University with a Bachelor of Science degree in Finance. He holds the FINRA Series 66 License and is a CERTIFIED FINANCIAL PLANNER™ professional. Alec is actively enrolled in the Yale School of Management program, Wealth Management Theory & Practice, which is the prerequisite for the Certified Private Wealth Advisor® designation. Alec specializes in creating strategies for business owners, planning for highly compensated professionals, and structuring tax strategies for clients in retirement. Alec enjoys spending time with his wife and their toddler son.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alec Montoya

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

September 23, 2024 - October 23, 2025

COMPOUND PLANNING, INC.

RIA
CRD#: 171787
Crystal Lake, IL
Past

April 10, 2017 - August 12, 2024

MERCER GLOBAL ADVISORS INC.

RIA
CRD#: 147363
SCHAUMBURG, IL
Past

January 25, 2016 - April 20, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT COLLINS, CO
Past

August 18, 2015 - April 20, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT COLLINS, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CP
COMPOUND PLANNING, INC.
ALTERNATIV WEALTH | SHOPOFF PRIVATE CLIENT GROUP | COMPOUND PLANNING, INC. | COMPOUND PLANNING | ATOMI PRIVATE CLIENT GROUP | ATOMI FINANCIAL GROUP, INC. | ATOMI FINANCIAL GROUP | ATOMI FINANCIAL ADVISORS | ATOMI ASSET MANAGEMENT

CRD#: 171787 / SEC#: 801-126007

RIA
Registered Investment Advisory firm - (7/1/2022 Approved)
California
Registered Investment Advisory firm - (8/13/2022 Terminated)
Ohio
Registered Investment Advisory firm - (7/14/2022 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/22/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/20/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/2015
General Securities Representative Examination

Current Firm

CP
COMPOUND PLANNING, INC.
ALTERNATIV WEALTH | SHOPOFF PRIVATE CLIENT GROUP | COMPOUND PLANNING, INC. | COMPOUND PLANNING | ATOMI PRIVATE CLIENT GROUP | ATOMI FINANCIAL GROUP, INC. | ATOMI FINANCIAL GROUP | ATOMI FINANCIAL ADVISORS | ATOMI ASSET MANAGEMENT

CRD#: 171787 / SEC#: 801-126007

RIA
Registered Investment Advisory firm - (7/1/2022 Approved)
California
Registered Investment Advisory firm - (8/13/2022 Terminated)
Ohio
Registered Investment Advisory firm - (7/14/2022 Terminated)
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Contact information

Main Address
115 Broadway 5th Floor, New York, NY 10006
Mailing Address
169 Madison Avenue Suite 15201, New York, NY 10016
Phone number
(888) 533-9364
Established
Firm type
Fiscal year end
# of Employees
104

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

COMPOUND PLANNING-FORM ADV, PART 2A BROCHURE (9/29/2025)

Regulatory assets under management

Total Number of Accounts6,372
AUM (Assets Under Management)$ 3,025,356,111

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

COMPOUND PLANNING, INC.

Wealth AdvisorCRD#: 171787

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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