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Detailed Report
ALEC ANDY MONTOYA
ALEC MONTOYA
CRD#: 6215720
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Investment Adviser
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Previous Broker
COMPOUND PLANNINGCRD#: 171787 Crystal Lake, IL
Registration History
201520162017201820192020202120222023202420252026IACOMPOUND PLANNING (CRD# 171787)2024 - Present (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2015 - 2017 (1 year)IAMERCER GLOBAL ADVISORS INC. (CRD# 147363)2017 - 2024 (7 years)IALPL FINANCIAL LLC (CRD# 6413)2016 - 2017 (1 year)
License(s)

State Registrations

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Illinois 9/23/2024
Current Registration(s)
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COMPOUND PLANNING (CRD#:171787)
Crystal Lake, IL
Registered with this firm since 9/23/2024
Previous Registration(s)
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 04/10/2017 - 08/12/2024 MERCER GLOBAL ADVISORS INC. (CRD#:147363) SCHAUMBURG, IL
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 01/25/2016 - 04/20/2017 LPL FINANCIAL LLC (CRD#:6413) FORT COLLINS, CO
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 08/18/2015 - 04/20/2017 LPL FINANCIAL LLC (CRD#:6413) FORT COLLINS, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.