PA
Paul L. Adams
SOUND FINANCIAL
LAKE STEVENS, WA
Some features on this profile are disabled
CRD#: 3077936
PA
Professional summary
Paul L Adams, who also goes by Paul Leroy Adams, is a registered financial advisor currently at SOUND FINANCIAL, LLC located in Lake Stevens, Washington.
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Paul has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Leroy Adams
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 Paul L Adams'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 27, 2018 - Present
SOUND FINANCIAL, LLC
RIA
CRD#: 292271
LAKE STEVENS, WA
Past
May 6, 2004 - May 4, 2018
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
MILL CREEK, WA
Past
October 28, 1999 - May 4, 2018
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
MILL CREEK, WA
Past
June 29, 1999 - December 10, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
SF
SOUND FINANCIAL, LLC
SOUND FINANCIAL GROUP | SOUND FINANCIAL, LLC | SOUND FINANCIAL, INC. | SOUND FINANCIAL INC.
CRD#: 292271 / SEC#: 801-125761
RIA
Registered Investment Advisory firm - (5/27/2022 Approved)California
Registered Investment Advisory firm - (10/14/2022 Terminated)Colorado
Registered Investment Advisory firm - (9/16/2022 Terminated)Illinois
Registered Investment Advisory firm - (9/14/2022 Terminated)Nevada
Registered Investment Advisory firm - (10/14/2022 Terminated)Texas
Registered Investment Advisory firm - (9/14/2022 Terminated)Washington
Registered Investment Advisory firm - (10/31/2022 Terminated)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(6/26/2018)
IAR
Colorado(6/8/2018)
IAR
Illinois(5/1/2018)
IAR
Nevada(6/12/2018)
IAR
New Hampshire(5/31/2022)
IAR
Texas(5/8/2018)
IAR
Washington(4/27/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SF
SOUND FINANCIAL, LLC
SOUND FINANCIAL GROUP | SOUND FINANCIAL, LLC | SOUND FINANCIAL, INC. | SOUND FINANCIAL INC.
CRD#: 292271 / SEC#: 801-125761
RIA
Registered Investment Advisory firm - (5/27/2022 Approved)California
Registered Investment Advisory firm - (10/14/2022 Terminated)Colorado
Registered Investment Advisory firm - (9/16/2022 Terminated)Illinois
Registered Investment Advisory firm - (9/14/2022 Terminated)Nevada
Registered Investment Advisory firm - (10/14/2022 Terminated)Texas
Registered Investment Advisory firm - (9/14/2022 Terminated)Washington
Registered Investment Advisory firm - (10/31/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Lake Stevens, WA
Mailing Address
Phone number
(425) 332-6568
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 697 |
| AUM (Assets Under Management) | $ 169,835,413 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
