RB
Richard B. Bates
SOUNDOME STRATEGIES
Fort Lauderdale, FL 33309
Some features on this profile are disabled
CRD#: 1452607
RB
Professional summary
Richard Buel Bates JR, who also goes by Rick Bates Jr, is a registered financial advisor currently at SOUND INCOME STRATEGIES, LLC located in Fort Lauderdale, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Richard has worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Bates Jr
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. RETIREMENT INCOME SOURCE OF FORT LAUDERDALE - INVESTMENT RELATED. 500 W. CYPRESS CREEK RD, STE 250, FORT LAUDERDALE, FL 33309 - FIXED INSURANCE AND FIXED ANNUITY SALES. OWNER AND DBA; STARTED 02/2024; ENCOMPASSES APPROXIMATELY 20% OF BUSINESS HOURS. 2. DISC GOLF TOURNAMENT PARTICIPANT FOR A FEE - NON INVESTMENT RELATED - STARTED 10/1/2014 3. SOUND INCOME GROUP, LLC - NON- INVESTMENT RELATED - 500 W. CYPRESS CREEK RD, STE 250, FORT LAUDERDALE, FL 33309 - BUSINESS DEVELOPMENT COACH - COACHING ADVISORS AND AGENTS - SALARY BASED - ENCOMPASSES APPROXIMATELY 80% OF BUSINESS HOURS. STARTED 12/12/2024. 4. RETIREMENT INCOME SOURCE DBA - INVESTMENT RELATED. MARKETING TO PROSPECTIVE CLIENTS FOR INVESTMENT ADVISORY AND FIXED INSURANCE SERVICES. 2/2024-PRESENT. THIS DOES NOT ENCOMPASS ANY BUSINESS HOURS. STARTED 12/12/2024. 5. SOUND INCOME GROUP - INVESTMENT RELATED - 500 W. CYPRESS CREEK RD, STE 250, FORT LAUDERDALE, FL 33309 - PASSIVE NON-VOTING MINORITY OWNER OF LESS THAN 1%. 1-1-2024 - PRESENT. THIS DOES NOT ENCOMPASS ANY BUSINESS HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Buel Bates 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®
NoneExperience
Current
January 4, 2019 - Present
SOUND INCOME STRATEGIES, LLC
Office #1: 500 West Cypress Creek Road Suite 250, Fort Lauderdale, FL 33309RIA
CRD#: 173272
Fort Lauderdale, FL
Past
December 8, 2014 - December 31, 2017
SOUND INCOME STRATEGIES, LLC
RIA
CRD#: 173272
SPOKANE, WA
Past
April 19, 2012 - December 31, 2012
INTEGRITY INVESTMENT & TAX ADVISORY, LLC
RIA
CRD#: 159803
LIBERTY LAKE, WA
Past
November 13, 2008 - December 31, 2011
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
LIBERTY LAKE, WA
Past
November 12, 2008 - December 31, 2011
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
LIBERTY LAKE, WA
Past
October 1, 2007 - November 17, 2008
STIFEL INDEPENDENT ADVISORS, LLC
RIA
CRD#: 28218
KALISPELL, MT
Past
October 1, 2007 - November 17, 2008
STIFEL INDEPENDENT ADVISORS, LLC
BD
CRD#: 28218
KALISPELL, MT
Past
August 11, 2006 - October 3, 2007
KCD FINANCIAL, INC.
RIA
CRD#: 127473
KALISPELL, MT
Past
August 11, 2006 - October 3, 2007
KCD FINANCIAL, INC.
BD
CRD#: 127473
KALISPELL, MT
Past
October 17, 2003 - August 14, 2006
STIFEL INDEPENDENT ADVISORS, LLC
RIA
CRD#: 28218
KALISPELL, MT
Past
October 17, 2003 - August 14, 2006
STIFEL INDEPENDENT ADVISORS, LLC
BD
CRD#: 28218
KALISPELL, MT
Past
May 13, 2002 - October 28, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
KALISPELL, MT
Past
February 22, 1996 - October 28, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
February 2, 1994 - February 15, 1996
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 3, 1988 - February 17, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 29, 1986 - June 6, 1988
WAMU INVESTMENTS, INC.
BD
CRD#: 599
Past
January 22, 1986 - October 15, 1986
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
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
Florida(3/19/2019)
Exams
State Security Law Exam
State Security Law Exam
General 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SOUND INCOME STRATEGIES, LLC
CRD#: 173272Fort Lauderdale, FL 33309TRUST BUT VERIFY
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