TF
Thomas P. Falter
SOUNDOME STRATEGIES
Weirton, WV 26062
Some features on this profile are disabled
CRD#: 1154956
TF
Professional summary
Thomas Preston Falter, who also goes by Tom Falter, is a registered financial advisor currently at SOUND INCOME STRATEGIES, LLC located in Weirton, West Virginia.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Thomas has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Falter
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.
1.NORTH AMERICAN FINANCIAL: OWNER - FIXED INSURANCE WITH VARIOUS COMPANIES, ADDRESS: SAME AS REGISTERED LOCATION, START DATE: 9/1981, aPPROXIMATELY 50% OF BUSINESS HOURS 2.NORTH AMERICAN SPORTING, -OWNER - NON-INVESTMENT RELATED: NATURE OF BUSINESS: FEDERAL FIRE ARMS LICENSE/ CONCEALED CARRY CLASSES/ HOME DEFENSE, START DATE: 7/1978, NO BUSINESS HOURS. BRIEF DESCRIPTION OF DUTIES: TEACH CONCEALED CARRY, LICENSED TO SELL FIRE ARMS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Preston Falter's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 13, 2019 - Present
SOUND INCOME STRATEGIES, LLC
Office #1: 3600 West Street, Weirton, WV 26062Office #3: 2009 Mckenzie Way Suite 100, Cranberry Township, PA 16066RIA
CRD#: 173272
Weirton, WV
Past
March 21, 2020 - September 1, 2020
PINNACLE INVESTMENTS, LLC
BD
CRD#: 142910
EAST SYRACUSE, NY
Past
June 28, 2019 - August 13, 2019
PINNACLE INVESTMENTS, LLC
BD
CRD#: 142910
NEW CUMBERLAND, WV
Past
January 5, 2017 - December 26, 2019
GLOBAL INVESTMENT ADVISORS, LLC
RIA
CRD#: 121442
New Cumberland, WV
Past
October 27, 2016 - July 10, 2019
ESSEX SECURITIES LLC
BD
CRD#: 46605
New Cumberland, WV
Past
October 3, 2016 - November 11, 2016
CETERA ADVISORS LLC
RIA
CRD#: 10299
NEW CUMBERLAND, WV
Past
October 3, 2016 - November 11, 2016
CETERA ADVISORS LLC
BD
CRD#: 10299
NEW CUMBERLAND, WV
Past
January 3, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
NEW CUMBERLAND, WV
Past
August 3, 1998 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
WEIRTON, WV
Past
January 3, 1997 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
NEW CUMBERLAND, WV
Past
June 1, 1996 - December 31, 1996
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 5, 1996 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
September 8, 1995 - January 15, 1996
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
March 25, 1992 - September 27, 1995
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
July 21, 1983 - May 14, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
SI
SOUND INCOME STRATEGIES, LLC
ABUNDANT WEALTH MANAGEMENT | WRIGHT FINANCIAL GROUP | WILLO FINANCIAL | WEALTHWORKS FINANCIAL | TPC FINANCIAL GROUP | THREE BRIDGES FINANCIAL GROUP | TEXAS RETIREMENT SOLUTIONS | TEQUESTA RETIREMENT GROUP | STRATEGIC SENIOR BENEFITS GROUP | STEARNS RETIREMENT GROUP | SPARKS FINANCIAL GROUP | SOUND INCOME STRATEGIES, LLC | SNODGRASS FINANCIAL STRATEGIES | SHALA FINANCIAL | SFG CAPITAL MANAGEMENT | SENIOR ADVISORS INC. | SCRANTON FINANCIAL GROUP OF SOUTH WINDSOR | SCRANTON FINANCIAL GROUP | ROTHERMEL FINANCIAL | RICH WEALTH MANAGEMENT | RETIREMENT SOLUTIONS LLC | RETIREMENT INCOME SOURCE SW FLORIDA | RETIREMENT INCOME SOURCE OF HUNTSVILLE | RETIREMENT INCOME SOURCE OF FORT LAUDERDALE | RETIREMENT INCOME SOURCE | RETIREMENT INCOME SOLUTIONS | RELIABLE PLANNING GROUP | RELIABILE WEALTH FINANCIAL GROUP | POOLE LOCKE ADVISORS | PLATINUM FINANCIAL LLC | PINEHURST WEALTH MANAGEMENT | PEASON FINANCIAL GROUP | NORTH SHORE ASSET MANAGEMENT | NORTH AMERICAN FINANCIAL | NEW ENGLAND FINANCIAL PARTNERS LLC | MID-AMERICAN TAX | MCLEAN TAX ADVISORY GROUP | MCKENZIE FINANCIAL GROUP | MCCARTIN FINANCIAL | MCADAMS GROUP | MASON WEALTH GROUP | LIVE LOVE FLOURISH | JOHNSON WEALTH & INCOME MANAGEMENT | INNER CIRCLE ASSET MANAGEMENT | HORIZON WEALTH PARTNERS | HAMMONTREE FINANCIAL PARTNERS | GOODMAN GREEN WEALTH MANAGEMENT | FORTRESS FINANCIAL GROUP | FOCUS FINANCIAL PLANNING | FIRM FOUNDATION TN | FINSETT SOLUTIONS | FAMILY LEGACY GROUP | EISSMAN WEALTH MANAGEMENT | DORCEY FINANCIAL LLC | CRYSTAL LAKE TAX AND FINANCIAL SERVICES | CROSSROADS FINANCIAL SOLUTIONS | COMMUNITY INVESTMENT AND RETIREMENT SERVICES | COMMONWEALTH GUARDIANS | CKS SUMMIT GROUP | CHAMBERLIN FINANCIAL | CHAMBERLAIN ADVISORY GROUP | CARTER FINANCIAL GROUP | CARRIER FINANCIAL SERVICES | BRANDON BELL FINANCIAL PARTNERS | BLISS WEALTH MANAGEMENT | ATLAS FINANCIAL ADVISORY GROUP | ARBOR FINANCIAL SERVICES | APONTE FINANCIAL SERVICES | ALL NEEDS PLANNING
CRD#: 173272 / SEC#: 801-80425
RIA
Registered Investment Advisory firm - (10/22/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
West Virginia(8/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 9/7/2000
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SI
SOUND INCOME STRATEGIES, LLC
ABUNDANT WEALTH MANAGEMENT | WRIGHT FINANCIAL GROUP | WILLO FINANCIAL | WEALTHWORKS FINANCIAL | TPC FINANCIAL GROUP | THREE BRIDGES FINANCIAL GROUP | TEXAS RETIREMENT SOLUTIONS | TEQUESTA RETIREMENT GROUP | STRATEGIC SENIOR BENEFITS GROUP | STEARNS RETIREMENT GROUP | SPARKS FINANCIAL GROUP | SOUND INCOME STRATEGIES, LLC | SNODGRASS FINANCIAL STRATEGIES | SHALA FINANCIAL | SFG CAPITAL MANAGEMENT | SENIOR ADVISORS INC. | SCRANTON FINANCIAL GROUP OF SOUTH WINDSOR | SCRANTON FINANCIAL GROUP | ROTHERMEL FINANCIAL | RICH WEALTH MANAGEMENT | RETIREMENT SOLUTIONS LLC | RETIREMENT INCOME SOURCE SW FLORIDA | RETIREMENT INCOME SOURCE OF HUNTSVILLE | RETIREMENT INCOME SOURCE OF FORT LAUDERDALE | RETIREMENT INCOME SOURCE | RETIREMENT INCOME SOLUTIONS | RELIABLE PLANNING GROUP | RELIABILE WEALTH FINANCIAL GROUP | POOLE LOCKE ADVISORS | PLATINUM FINANCIAL LLC | PINEHURST WEALTH MANAGEMENT | PEASON FINANCIAL GROUP | NORTH SHORE ASSET MANAGEMENT | NORTH AMERICAN FINANCIAL | NEW ENGLAND FINANCIAL PARTNERS LLC | MID-AMERICAN TAX | MCLEAN TAX ADVISORY GROUP | MCKENZIE FINANCIAL GROUP | MCCARTIN FINANCIAL | MCADAMS GROUP | MASON WEALTH GROUP | LIVE LOVE FLOURISH | JOHNSON WEALTH & INCOME MANAGEMENT | INNER CIRCLE ASSET MANAGEMENT | HORIZON WEALTH PARTNERS | HAMMONTREE FINANCIAL PARTNERS | GOODMAN GREEN WEALTH MANAGEMENT | FORTRESS FINANCIAL GROUP | FOCUS FINANCIAL PLANNING | FIRM FOUNDATION TN | FINSETT SOLUTIONS | FAMILY LEGACY GROUP | EISSMAN WEALTH MANAGEMENT | DORCEY FINANCIAL LLC | CRYSTAL LAKE TAX AND FINANCIAL SERVICES | CROSSROADS FINANCIAL SOLUTIONS | COMMUNITY INVESTMENT AND RETIREMENT SERVICES | COMMONWEALTH GUARDIANS | CKS SUMMIT GROUP | CHAMBERLIN FINANCIAL | CHAMBERLAIN ADVISORY GROUP | CARTER FINANCIAL GROUP | CARRIER FINANCIAL SERVICES | BRANDON BELL FINANCIAL PARTNERS | BLISS WEALTH MANAGEMENT | ATLAS FINANCIAL ADVISORY GROUP | ARBOR FINANCIAL SERVICES | APONTE FINANCIAL SERVICES | ALL NEEDS PLANNING
CRD#: 173272 / SEC#: 801-80425
RIA
Registered Investment Advisory firm - (10/22/2014 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
500 W Cypress Creek Road Suite 290, Fort Lauderdale, FL 33309
Mailing Address
Phone number
(954) 487-1860
Established
Firm type
Fiscal year end
# of Employees
111
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,055 |
| AUM (Assets Under Management) | $ 4,038,151,245 |
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
SOUND INCOME STRATEGIES, LLC
CRD#: 173272Weirton, WV 26062TRUST BUT VERIFY
Monitor Thomas Falter
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
