Theodore L. Parker

SOUND PORTFOLIO ADVISORS

Mystic, CT 06355

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CRD#: 2362925

Professional summary

Theodore Lee Parker, CFP®, who also goes by Theodore Parker, is a registered financial advisor currently at SOUND PORTFOLIO ADVISORS, LLC located in Mystic, Connecticut.

Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Theodore has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Theodore Parker

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Lee Parker'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: 1998

Experience

Current

November 8, 1999 - Present

SOUND PORTFOLIO ADVISORS, LLC

Office #1: 28 Cottrell Street, Mystic, CT 06355

RIA

CRD#: 125511

Mystic, CT

Past

November 9, 1995 - November 3, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 9, 1995 - November 3, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 10, 1993 - November 8, 1994

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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 PORTFOLIO ADVISORS, LLC

PARKER FINANCIAL PLANNING, LLC | SOUND PORTFOLIO ADVISORS, LLC | SOUND PORTFOLIO ADVISORS | PFP

CRD#: 125511 / SEC#: 801-120415

RIA

Registered Investment Advisory firm - (3/1/2021 Approved)

Connecticut

Registered Investment Advisory firm - (3/16/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Connecticut
(11/8/1999)

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

IAR

Series 65

Date: 11/13/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/30/1993

General Securities Representative Examination

Current Firm

SOUND PORTFOLIO ADVISORS, LLC

PARKER FINANCIAL PLANNING, LLC | SOUND PORTFOLIO ADVISORS, LLC | SOUND PORTFOLIO ADVISORS | PFP

CRD#: 125511 / SEC#: 801-120415

RIA

Registered Investment Advisory firm - (3/1/2021 Approved)

Connecticut

Registered Investment Advisory firm - (3/16/2021 Terminated)

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Contact information

Main Address

28 Cottrell St., Mystic, CT 06355

Mailing Address

Phone number

(860) 572-2737

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOUND PORTFOLIO ADV PART 2A, ADV PART 2B, AND PRIVACY POLICY (2/5/2025)

Regulatory assets under management

Total Number of Accounts	350
AUM (Assets Under Management)	$ 123,941,039

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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Theodore L. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Lee Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND PORTFOLIO ADVISORS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

SOUND PORTFOLIO ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/1995

Series 63

Date: 7/20/1993

Series 7

Date: 6/30/1993

Current Firm

SOUND PORTFOLIO ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUND PORTFOLIO ADVISORS, LLC

TRUST BUT VERIFY

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