KC
Kristopher J. Cowles
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CRD#: 4012612
KC
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.
Kristopher Jon Cowles was a registered financial professional .
Kristopher is a previously registered financial professional and started their career in finance in 1999. Kristopher had worked at 11 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1. VILLAGE OF TEQUESTA PUBLIC SAFETY (POLICE & FIRE DEPARTMENT) PENSION BOARD PRESIDENT (VOLUNTEER) POSITION: Board member NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2019 ADDRESS: 345 Tequesta Dr, Tequesta FL 33469, United States DESCRIPTION: Evaluating the pension and retirement plans for the police and fire department every quarter. 2. MEDIGAP PLANS OF AMERICA -HEALTH INSURANCE SALES POSITION: Agent NATURE: Health Insurance Sales NON-INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 140 Intracoastal Pointe Dr. Suite #201, Jupiter FL 33477, United States DESCRIPTION: Agent 3. SUTTER & NUGENT REAL ESTATE POSITION: Inactive Real Estate Agent NATURE: Real Estate Development Rental and Leasing NON-INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2019 ADDRESS: 515 Cypress Cir, Tequesta FL 33469, United States DESCRIPTION: I have a real estate license that is registered at Sutter and Nugent. 4. TEQUESTA RETIREMENT GROUP LLP POSITION: Agent NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 07/1999 ADDRESS: 140 Intracoastal Pointe Dr. Suite #201, Jupiter FL 33477,, United States DESCRIPTION: Agent 5. CYPRESS RIDGE HOA - PRESIDENT POSITION: President of HOA - NON-INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 515 Cypress Cir, Tequesta FL 33469, United States DESCRIPTION: President of the association
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®
NoneExperience
Past
June 20, 2022 - December 12, 2023
SOUND INCOME STRATEGIES, LLC
RIA
CRD#: 173272
Jupiter, FL
Past
August 26, 2020 - September 24, 2021
JCG ADVISORY GROUP, LLC
RIA
CRD#: 283746
Jupiter, FL
Past
July 1, 2019 - July 1, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
West Palm Beach, FL
Past
March 11, 2019 - July 1, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
West Palm Beach, FL
Past
May 24, 2011 - November 12, 2018
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
July 20, 2010 - February 24, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
SEATTLE, WA
Past
July 20, 2010 - May 11, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
September 4, 2009 - June 10, 2010
DIRECTED SERVICES LLC
RIA
CRD#: 21675
WEST CHESTER, PA
Past
September 14, 2005 - June 10, 2010
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
Past
April 8, 2004 - September 1, 2005
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
July 16, 2001 - March 29, 2004
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
April 25, 2000 - March 28, 2001
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
December 9, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
December 9, 1999 - March 28, 2000
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
SI
SOUND INCOME STRATEGIES, LLC
ABUNDANT WEALTH MANAGEMENT | WRIGHT FINANCIAL GROUP | WILLO FINANCIAL | WEALTHWORKS FINANCIAL | TPC FINANCIAL GROUP | THREE BRIDGES FINANCIAL GROUP | TEXAS RETIREMENT SOLUTIONS | TEQUESTA RETIREMENT GROUP | STRATEGIC SENIOR BENEFITS GROUP | STEARNS RETIREMENT GROUP | SPARKS FINANCIAL GROUP | SOUND INCOME STRATEGIES, LLC | SNODGRASS FINANCIAL STRATEGIES | SHALA FINANCIAL | SFG CAPITAL MANAGEMENT | SENIOR ADVISORS INC. | SCRANTON FINANCIAL GROUP OF SOUTH WINDSOR | SCRANTON FINANCIAL GROUP | ROTHERMEL FINANCIAL | RICH WEALTH MANAGEMENT | RETIREMENT SOLUTIONS LLC | RETIREMENT INCOME SOURCE SW FLORIDA | RETIREMENT INCOME SOURCE OF HUNTSVILLE | RETIREMENT INCOME SOURCE OF FORT LAUDERDALE | RETIREMENT INCOME SOURCE | RETIREMENT INCOME SOLUTIONS | RELIABLE PLANNING GROUP | RELIABILE WEALTH FINANCIAL GROUP | POOLE LOCKE ADVISORS | PLATINUM FINANCIAL LLC | PINEHURST WEALTH MANAGEMENT | PEASON FINANCIAL GROUP | NORTH SHORE ASSET MANAGEMENT | NORTH AMERICAN FINANCIAL | NEW ENGLAND FINANCIAL PARTNERS LLC | MID-AMERICAN TAX | MCLEAN TAX ADVISORY GROUP | MCKENZIE FINANCIAL GROUP | MCCARTIN FINANCIAL | MCADAMS GROUP | MASON WEALTH GROUP | LIVE LOVE FLOURISH | JOHNSON WEALTH & INCOME MANAGEMENT | INNER CIRCLE ASSET MANAGEMENT | HORIZON WEALTH PARTNERS | HAMMONTREE FINANCIAL PARTNERS | GOODMAN GREEN WEALTH MANAGEMENT | FORTRESS FINANCIAL GROUP | FOCUS FINANCIAL PLANNING | FIRM FOUNDATION TN | FINSETT SOLUTIONS | FAMILY LEGACY GROUP | EISSMAN WEALTH MANAGEMENT | DORCEY FINANCIAL LLC | CRYSTAL LAKE TAX AND FINANCIAL SERVICES | CROSSROADS FINANCIAL SOLUTIONS | COMMUNITY INVESTMENT AND RETIREMENT SERVICES | COMMONWEALTH GUARDIANS | CKS SUMMIT GROUP | CHAMBERLIN FINANCIAL | CHAMBERLAIN ADVISORY GROUP | CARTER FINANCIAL GROUP | CARRIER FINANCIAL SERVICES | BRANDON BELL FINANCIAL PARTNERS | BLISS WEALTH MANAGEMENT | ATLAS FINANCIAL ADVISORY GROUP | ARBOR FINANCIAL SERVICES | APONTE FINANCIAL SERVICES | ALL NEEDS PLANNING
CRD#: 173272 / SEC#: 801-80425
RIA
Registered Investment Advisory firm - (10/22/2014 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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SI
SOUND INCOME STRATEGIES, LLC
ABUNDANT WEALTH MANAGEMENT | WRIGHT FINANCIAL GROUP | WILLO FINANCIAL | WEALTHWORKS FINANCIAL | TPC FINANCIAL GROUP | THREE BRIDGES FINANCIAL GROUP | TEXAS RETIREMENT SOLUTIONS | TEQUESTA RETIREMENT GROUP | STRATEGIC SENIOR BENEFITS GROUP | STEARNS RETIREMENT GROUP | SPARKS FINANCIAL GROUP | SOUND INCOME STRATEGIES, LLC | SNODGRASS FINANCIAL STRATEGIES | SHALA FINANCIAL | SFG CAPITAL MANAGEMENT | SENIOR ADVISORS INC. | SCRANTON FINANCIAL GROUP OF SOUTH WINDSOR | SCRANTON FINANCIAL GROUP | ROTHERMEL FINANCIAL | RICH WEALTH MANAGEMENT | RETIREMENT SOLUTIONS LLC | RETIREMENT INCOME SOURCE SW FLORIDA | RETIREMENT INCOME SOURCE OF HUNTSVILLE | RETIREMENT INCOME SOURCE OF FORT LAUDERDALE | RETIREMENT INCOME SOURCE | RETIREMENT INCOME SOLUTIONS | RELIABLE PLANNING GROUP | RELIABILE WEALTH FINANCIAL GROUP | POOLE LOCKE ADVISORS | PLATINUM FINANCIAL LLC | PINEHURST WEALTH MANAGEMENT | PEASON FINANCIAL GROUP | NORTH SHORE ASSET MANAGEMENT | NORTH AMERICAN FINANCIAL | NEW ENGLAND FINANCIAL PARTNERS LLC | MID-AMERICAN TAX | MCLEAN TAX ADVISORY GROUP | MCKENZIE FINANCIAL GROUP | MCCARTIN FINANCIAL | MCADAMS GROUP | MASON WEALTH GROUP | LIVE LOVE FLOURISH | JOHNSON WEALTH & INCOME MANAGEMENT | INNER CIRCLE ASSET MANAGEMENT | HORIZON WEALTH PARTNERS | HAMMONTREE FINANCIAL PARTNERS | GOODMAN GREEN WEALTH MANAGEMENT | FORTRESS FINANCIAL GROUP | FOCUS FINANCIAL PLANNING | FIRM FOUNDATION TN | FINSETT SOLUTIONS | FAMILY LEGACY GROUP | EISSMAN WEALTH MANAGEMENT | DORCEY FINANCIAL LLC | CRYSTAL LAKE TAX AND FINANCIAL SERVICES | CROSSROADS FINANCIAL SOLUTIONS | COMMUNITY INVESTMENT AND RETIREMENT SERVICES | COMMONWEALTH GUARDIANS | CKS SUMMIT GROUP | CHAMBERLIN FINANCIAL | CHAMBERLAIN ADVISORY GROUP | CARTER FINANCIAL GROUP | CARRIER FINANCIAL SERVICES | BRANDON BELL FINANCIAL PARTNERS | BLISS WEALTH MANAGEMENT | ATLAS FINANCIAL ADVISORY GROUP | ARBOR FINANCIAL SERVICES | APONTE FINANCIAL SERVICES | ALL NEEDS PLANNING
CRD#: 173272 / SEC#: 801-80425
RIA
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Contact information
Main Address
500 W Cypress Creek Road Suite 290, Fort Lauderdale, FL 33309
Mailing Address
Phone number
(954) 487-1860
Established
Firm type
Fiscal year end
# of Employees
111
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,055 |
| AUM (Assets Under Management) | $ 4,038,151,245 |
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.
