Frank J. Flores

SOUND PLANNING AND INVESTMENTS

ESSEX, CT

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CRD#: 1180556

Professional summary

Frank Joe Flores JR, CFP® is a registered financial advisor currently at SOUND PLANNING AND INVESTMENTS, LLC located in Essex, Connecticut.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Frank has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. 11/29/2017 - Frank Flores - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 1/1985 - 5 Hours Per Month/0 Hours During Securities Trading - Insurance Agent - Life, LTC and Fixed Annuities. 2. 11/29/2017 - Sound Planning and Investments LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Principal - Start Date 12/05/2017 - 130 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Sound Planning and Investments, LLC., an independent investment advisor firm. I started this business activity in Dec 2017. I expect to spend approximately 130 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Joe Flores JR'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®

CFP^®

Certified Financial Planner

Experience

Current

March 2, 1998 - Present

SOUND PLANNING AND INVESTMENTS, LLC

RIA

CRD#: 111892

ESSEX, CT

Past

November 29, 2017 - November 9, 2018

LPL FINANCIAL LLC

CRD#: 6413

ESSEX, CT

Past

May 1, 2000 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

ESSEX, CT

Past

January 17, 1997 - May 12, 2000

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

December 20, 1984 - January 17, 1997

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

July 20, 1984 - December 10, 1984

DIVERSIFIED SECURITIES, INCORPORATED

CRD#: 222

Past

February 14, 1984 - August 7, 1984

CREST CAPITAL, INC.

CRD#: 14484

Past

August 24, 1983 - January 17, 1984

FIRST LIBERTY SECURITIES, INC.

CRD#: 10921

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

California
(3/30/1998)

IAR

Connecticut
(3/2/1998)

IAR

Texas
(11/27/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/6/1989

General Securities Principal Examination

Current Firm

SOUND PLANNING AND INVESTMENTS, LLC

CRD#: 111892 / SEC#:

California

Registered Investment Advisory firm - (3/30/1998 Approved)

Connecticut

Registered Investment Advisory firm - (4/20/1993 Approved)

Texas

Registered Investment Advisory firm - (11/26/2018 Conditional Restricted)

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Contact information

Main Address

Essex, CT

Mailing Address

Phone number

(860) 767-0375

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 88,448,553

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.

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Advisor Monitoring

Firm Stability Insights

Frank J. Flores

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Joe Flores JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

IFG NETWORK SECURITIES, INC.

ASSOCIATED SECURITIES CORP.

DIVERSIFIED SECURITIES, INCORPORATED

CREST CAPITAL, INC.

FIRST LIBERTY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1991

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1983

Series 24

Date: 6/6/1989

Current Firm

SOUND PLANNING AND INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUND PLANNING AND INVESTMENTS, LLC

TRUST BUT VERIFY

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