Daniel E. Souders

SOUDERS FINANCIAL ADVISORS

CINCINNATI, OH 45248

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CRD#: 1999479

Professional summary

Daniel Edward Souders, CFP®, who also goes by Daniel Edward Sounders, is a registered financial advisor currently at SOUDERS FINANCIAL ADVISORS, LLC located in Cincinnati, Ohio and PRIVATE CLIENT SERVICES, LLC located in Cincinnati, Ohio.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Daniel has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Investment Planning

Comprehensive Financial Planni...

Insurance Planning

Estate Planning

Are you a "fiduciary"?

Yes

Aliases

Daniel Edward Sounders

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) 06/01/2018. SOUDERS FINANCIAL ADVISORS LLC. 5968 BRIDGETOWN RD, CINCINNATI,OH 45248. FINANCIAL PLANNING ADVISORY ASSET MANAGEMENT. PRESIDENT, ADVISOR/PERSONAL PRODUCTION & OVERSIGHT. 125 HOURS/MO; 7 DURING TRADING HOURS. 2) 06/01/2018. SOUDERS FINANCIAL GROUP INC. 5968 BRIDGETOWN RD, CINCINNATI, OH 45248. FIXED INSURANCE PRODUCTS SALES/SERVICE COMPANY FOR ADMINISTRATIVE STAFF. PRESIDENT, PRODUCT SALES, EMPLOYEE MANAGEMENT. 20 HOURS/MO; 2 DURING TRADING HOURS. 3) 06/01/2018. TRUSTE, SOUDERS FINANCIAL GROUP 401K PLAN. 401K PLAN TRUSTEE. 2 HOURS/MO; <1 DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Edward Souders's CRS (Customer Relationship Summary).

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

Start date: 1993

Experience

Current

June 19, 2018 - Present

SOUDERS FINANCIAL ADVISORS, LLC

Office #1: 5968 Bridgetown Road, Cincinnati, OH 45248

RIA

CRD#: 296780

CINCINNATI, OH

Current

June 1, 2018 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 5968 Bridgetown Road, Cincinnati, OH 45248

RIA

CRD#: 120222

Cincinnati, OH

Past

January 8, 2013 - June 11, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

CINCINNATI, OH

Past

July 31, 2012 - June 6, 2018

LPL FINANCIAL LLC

CRD#: 6413

CINCINNATI, OH

Past

December 2, 2008 - June 11, 2018

ADVANTAGE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 146236

CINCINNATI, OH

Past

June 17, 2003 - December 31, 2010

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

CINCINNATI, OH

Past

May 31, 2003 - July 31, 2012

NATIONAL PLANNING CORPORATION

CRD#: 29604

CINCINNATI, OH

Past

January 16, 2002 - June 20, 2003

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

CINCINNATI, OH

Past

January 2, 2002 - June 3, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

September 23, 1992 - December 31, 2001

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

October 27, 1989 - September 23, 1992

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

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".

SOUDERS FINANCIAL ADVISORS, LLC

CRD#: 296780 / SEC#: 801-113263

RIA

Registered Investment Advisory firm - (5/21/2018 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/1/2018)

California
(6/1/2018)

Colorado
(6/1/2018)

Florida
(6/1/2018)

Georgia
(6/1/2018)

Indiana
(6/1/2018)

Kentucky
(6/1/2018)

Michigan
(6/1/2018)

North Carolina
(6/1/2018)

Ohio
(6/1/2018)

IAR

Ohio
(6/19/2018)

Oregon
(10/12/2023)

Wisconsin
(6/1/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/21/1992

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: 7/27/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/25/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOUDERS FINANCIAL ADVISORS, LLC

CRD#: 296780 / SEC#: 801-113263

RIA

Registered Investment Advisory firm - (5/21/2018 Approved)

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Contact information

Main Address

5968 Bridgetown Road, Cincinnati, OH 45248

Mailing Address

Phone number

(513) 598-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUDERS FINANCIAL ADVISORS FORM ADV PART 2A (MARCH 2025) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,232
AUM (Assets Under Management)	$ 1,065,305,147

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Daniel E. Souders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Edward Souders's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ADVANTAGE INVESTMENT MANAGEMENT, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

CADARET, GRANT & CO., INC.

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

SOUDERS FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/1992

SIE

Date: 10/1/2018

Series 7

Date: 7/27/1994

Series 6

Date: 10/25/1989

Series 24

Date: 3/29/2002

FINRA

Current Firm

SOUDERS FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUDERS FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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