Karl G. Simmons

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CRD#: 1837353

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Karl Glenn Simmons, who also goes by Karl Gadget, was a registered financial professional .

Karl is a previously registered financial professional and started their career in finance in 1988. Karl had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Karl Gadget

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-Sound Financial Strategies Group, Inc.; ., Investment related:Yes, 579 Lakeland East Drive, Flowood, Mississippi, 39232, Registered Investment Advisor, Senior Advisor/Partner, 04/15/2015, 100%, Service clients, bring in new business 2-Sound Consulting LLC; Flowood, MS; Service description: Passive Member; Start date: 11/01/2017; Title: Member; Duties: Established to hold passive investment; Time spent: 0%. 3-Sound Financial, Investment related:Yes, 579 Lakeland E Dr., Flowood, MS, 39232, Wealth Management, Senior Advisor, 12/18/2019, 95%, Client wealth management 4 - Actor, Film, Commercial, Model, Print; Burnet, TX; non-investment related; description: acting/model; Title: Actor; Start date: 9/01/2017.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 11, 2017 - April 24, 2024

SOUND FINANCIAL STRATEGIES GROUP, LLC

RIA

CRD#: 286261

Burnet, TX

Past

March 31, 2017 - April 18, 2024

APW CAPITAL, INC.

CRD#: 43814

Flowood, MS

Past

January 21, 2011 - April 5, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

FLOWOOD, MS

Past

January 21, 2011 - April 5, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

FLOWOOD, MS

Past

August 30, 1995 - January 24, 2011

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

AUSTIN, TX

Past

July 13, 1995 - January 24, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

CEDAR PARK, TX

Past

December 21, 1992 - July 25, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 23, 1988 - December 21, 1992

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 3, 1988 - December 21, 1988

BRYAN, WORLEY & CO., INC.

CRD#: 12992

Past

October 19, 1988 - November 4, 1988

U.S. ASSOCIATES, INC.

CRD#: 13511

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".

SOUND FINANCIAL STRATEGIES GROUP, LLC

SOUND FINANCIAL STRATEGIES GROUP, INC. | SOUND FINANCIAL STRATEGIES GROUP, LLC

CRD#: 286261 / SEC#: 801-108894

RIA

Registered Investment Advisory firm - (1/11/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/25/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/3/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/2003

General Securities Principal Examination

Current Firm

SOUND FINANCIAL STRATEGIES GROUP, LLC

SOUND FINANCIAL STRATEGIES GROUP, INC. | SOUND FINANCIAL STRATEGIES GROUP, LLC

CRD#: 286261 / SEC#: 801-108894

RIA

Registered Investment Advisory firm - (1/11/2017 Approved)

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Contact information

Main Address

116 One Madison Plaza Suite1100, Madison, MS 39110

Mailing Address

Phone number

(601) 856-3825

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUND FINANCIAL STRATEGIES GROUP ADV 2A MARCH 2025 (3/31/2025)

SOUND FINANCIAL STRATEGIES GROUP WRAP PROGRAM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,280
AUM (Assets Under Management)	$ 183,723,913

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

Karl G. Simmons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APW CAPITAL, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

BRYAN, WORLEY & CO., INC.

U.S. ASSOCIATES, INC.

Primary Firm SEC Registration

SOUND FINANCIAL STRATEGIES GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/25/1988

SIE

Date: 10/1/2018

Series 3

Date: 4/3/1991

Series 7

Date: 10/15/1988

Series 24

Date: 3/13/2003

Current Firm

SOUND FINANCIAL STRATEGIES GROUP, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUND FINANCIAL STRATEGIES GROUP, LLC

TRUST BUT VERIFY

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