Investment adviser representative · Compound Planning, Inc.
Norman E. Mains III
CRD 2166689 · Dana Point, CA
At a glance
Norman E. Mains III is an investment adviser representative with Compound Planning, Inc. in Dana Point, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Norman’s SEC record dates to 2015, about 11 years ago.
Current advisory firm
- Compound Planning, Inc.Since November 2025Dana Point, CA · $4.8B in regulatory assets
SEC adviser record
- Registered since
- 2015 (11 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- No
- Disclosures on record
- None
AtlasMembers
Norman’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search.
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