RC
Richard T. Carlin
SOUND INCOME STRATEGIES
Sewickley, PA
CRD#: 1711588
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RC
Richard Tobias CarlinSOUND INCOME STRATEGIES
Professional summary
Richard Tobias Carlin, who also goes by Toby Carlin, Richard T Carlin, Richard Carlin, is a registered financial advisor currently at SOUND INCOME STRATEGIES, LLC located in Sewickley, Pennsylvania.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Richard has worked at 16 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Toby Carlin | Richard T Carlin | Richard Carlin
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Tobias Carlin'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
April 29, 2026 - Present
SOUND INCOME STRATEGIES, LLC
RIA
CRD#: 173272
Sewickley, PA
Past
November 18, 2020 - April 22, 2026
LPL FINANCIAL LLC
RIA
CRD#: 6413
PITTSBURGH, PA
Past
November 18, 2020 - April 22, 2026
LPL FINANCIAL LLC
BD
CRD#: 6413
PITTSBURGH, PA
Past
August 10, 2019 - December 9, 2020
EDWARD JONES
BD
CRD#: 250
Pittsburgh, PA
Past
July 8, 2019 - December 9, 2020
EDWARD JONES
RIA
CRD#: 250
Pittsburgh, PA
Past
October 5, 2018 - March 11, 2019
FISHER INVESTMENTS
RIA
CRD#: 107342
MCKEES ROCKS, PA
Past
November 5, 2012 - November 20, 2013
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
ERIE, PA
Past
November 1, 2012 - November 20, 2013
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
ERIE, PA
Past
August 24, 2011 - October 18, 2012
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
JOPLIN, MO
Past
September 18, 2009 - February 25, 2010
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
BD
CRD#: 8494
ST. PETERSBURG, FL
Past
August 28, 2008 - February 13, 2009
COOKSON PEIRCE WEALTH MANAGEMENT
RIA
CRD#: 110729
PITTSBURGH, PA
Past
February 23, 2005 - March 14, 2008
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
March 3, 2004 - November 12, 2004
VICTORY CAPITAL MANAGEMENT INC.
RIA
CRD#: 106189
CLEVELAND, OH
Past
January 2, 2004 - October 20, 2004
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
BROOKLYN, OH
Past
March 5, 2003 - December 31, 2003
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
CLEVELAND, OH
Past
March 5, 2003 - December 31, 2003
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
January 9, 2003 - January 16, 2003
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
July 17, 2000 - December 31, 2002
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
April 24, 1998 - March 10, 1999
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Past
December 17, 1987 - March 7, 1988
VP DISTRIBUTORS LLC
BD
CRD#: 3036
Past
July 22, 1987 - August 29, 1987
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
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 | SPECTRUM FINANCIAL 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 | PRES FINANCIAL | POOLE LOCKE ADVISORS | PLATINUM FINANCIAL LLC | PINEHURST WEALTH MANAGEMENT | PEASON FINANCIAL GROUP | OUTREACH CAPITAL MANAGEMENT LLC | 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 | DAVIS WEALTH PARTNERS | 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
Pennsylvania(4/29/2026)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/10/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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 | SPECTRUM FINANCIAL 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 | PRES FINANCIAL | POOLE LOCKE ADVISORS | PLATINUM FINANCIAL LLC | PINEHURST WEALTH MANAGEMENT | PEASON FINANCIAL GROUP | OUTREACH CAPITAL MANAGEMENT LLC | 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 | DAVIS WEALTH PARTNERS | 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)Loading...
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
134
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 24,756 |
| AUM (Assets Under Management) | $ 4,181,062,401 |
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.
