Todd A. Sixt

STRAIT & SOUND

San Francisco, CA

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CRD#: 2829082

Professional summary

Todd Alan Sixt is a registered financial advisor currently at STRAIT & SOUND located in San Francisco, California.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Todd has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Todd Alan Sixt'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®

None

Experience

Current

October 6, 2020 - Present

STRAIT & SOUND

RIA

CRD#: 309306

San Francisco, CA

Past

May 20, 2020 - October 6, 2020

MUTUAL ADVISORS, LLC

RIA

CRD#: 167658

San Francisco, CA

Past

October 6, 2015 - May 7, 2020

ALPHA CUBED INVESTMENTS, LLC

RIA

CRD#: 159347

IRVINE, CA

Past

August 24, 2015 - October 1, 2015

PROTECTED INVESTORS OF AMERICA

CRD#: 6082

SAN FRANCISCO, CA

Past

August 20, 2015 - October 1, 2015

PROTECTED INVESTORS OF AMERICA

RIA

CRD#: 6082

SAN FRANCISCO, CA

Past

June 13, 2014 - July 29, 2015

ALPHA CUBED INVESTMENTS, LLC

RIA

CRD#: 159347

SAN JOSE, CA

Past

March 30, 2010 - October 14, 2013

CRD#: 7784

SAN FRANCISCO, CA

Past

January 1, 1997 - March 11, 1998

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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".

STRAIT & SOUND

STRAIT & SOUND | STRAIT & SOUND WEALTH MANAGEMENT LLC

CRD#: 309306 / SEC#: 801-118892

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (4/28/2021 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

California
(10/6/2020)

IAR

Washington
(10/6/2020)

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: 1/11/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/6/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 4/14/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 2/27/2003

General Securities Sales Supervisor - General Module Examination

Current Firm

STRAIT & SOUND

STRAIT & SOUND | STRAIT & SOUND WEALTH MANAGEMENT LLC

CRD#: 309306 / SEC#: 801-118892

RIA

Registered Investment Advisory firm - (6/12/2020 Approved)

California

Registered Investment Advisory firm - (4/28/2021 Terminated)

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Contact information

Main Address

San Francisco, CA

Mailing Address

P.o. Box 22391, San Francisco, CA 94122

Phone number

(425) 577-7710

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR ALL CLIENTS (7/29/2025)

Regulatory assets under management

Total Number of Accounts	658
AUM (Assets Under Management)	$ 303,923,751

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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Todd A. Sixt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Alan Sixt's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL ADVISORS, LLC

ALPHA CUBED INVESTMENTS, LLC

PROTECTED INVESTORS OF AMERICA

PROTECTED INVESTORS OF AMERICA

ALPHA CUBED INVESTMENTS, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

THE CAPROCK GROUP, LLC

STRATEGIC ADVISERS LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

STRAIT & SOUND

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/2000

Series 63

Date: 12/13/1996

SIE

Date: 10/1/2015

Series 7

Date: 11/6/1998

Series 6

Date: 11/29/1996

Series 9

Date: 4/14/2003

Series 10

Date: 2/27/2003

Current Firm

STRAIT & SOUND

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRAIT & SOUND

TRUST BUT VERIFY

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