RR
Rory Richard
SOUND INCOME STRATEGIES
Lafayette, LA 70508
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CRD#: 4339414
RR
Rory RichardSOUND INCOME STRATEGIES
Professional summary
Rory Richard, who also goes by Rory Jude Richard, is a registered financial advisor currently at SOUND INCOME STRATEGIES, LLC located in Lafayette, Louisiana.
Rory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Rory has worked at 5 firms and has passed the Series 65, SIE and Series 6 exams.
At a Glance
Always Fiduciary
Aliases
Rory Jude Richard
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.
PLATINUM FINANCIAL LLC; INVESTMENT RELATED; 850 KALISTE SALOOM RD, #123, LAFAYETTE, LA 70508; INSURANCE; OWNER; STARTED 03/2016; 80 HOURS/MONTH DEVOTED; 80 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; OFFER SALE OF FIXED INSURANCE PRODUCTS. RICROW HOLDINGS LLC; OWNER; NON-INVESTMENT RELATED: 219 CRESTHILL DR YOUNGSVILLE LA 70592 USA; DUTIES: WE BUY AND SELL REAL ESTATE. CALL OUT TO FOR SALE BY OWNERS AND FOR RENT BY OWNERS.; 2022-01-0; HOURS PER MONTH DEVOTED TO BUSINESS DURING TRADING HOURS: 0; HOURS PER MONTH DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 5; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: ST. PIUS ELEMENTARY SCHOOL; ASSISTANT FOOTBALL/BASEBALL COACH; NON-INVESTMENT RELATED; 205 EAST BAYOU PKWY, LAFAYETTE, LA 70508; DUTIES: I AM VOLUNTEERING FOR 5TH AND 6TH GRADE ASSISTANT FOOTBALL COACH AT MY SON'S ELEMENTARY SCHOOL I WILL ALSO BE THE BASEBALL COACH LATER IN THE YEAR. I WILL TECHNICALLY BE AN EMPLOYEE OF THE SCHOOL. THIS ENCOMPASSES 0 BUSINESS HOURS. COMPENSATION: FLAT $450 FOR FOOTBALL SEASON, PROBABLY THE SAME FOR BASEBALL SEASON. RICHARD FAMILY, LLC: 7% OWNER; NON-INVESTMENT RELATED; 202 QUAIL DRIVE, LAFAYETTE, LA 70508; THIS IS AN LLC THAT RUNS THE FAMILY FARM. 0% OF BUSINESS HOURS. RETIREMENT INCOME SOURCE, LLC DBA - 06/2025 - PRESENT- INVESTMENT RELATED - 850 KALISTE SALOOM RD, #123, LAFAYETTE, LA 70508. THE RETIREMENT INCOME SOURCE IS USED TO OMARKET TO PROSPECTIVE CLIENTS FOR INVESTMENT ADVISORY AND FIXED INSURANCE SALEAS. THIS WILL NOT ENCOMPASS ANY BUSINESS HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Rory Richard'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 17, 2023 - Present
SOUND INCOME STRATEGIES, LLC
Office #1: 850 Kaliste Saloom Road Suite 123, Lafayette, LA 70508Office #2: 10202 Perkins Rowe Suite E-160, Baton Rouge, LA 70810RIA
CRD#: 173272
Lafayette, LA
Past
October 26, 2022 - June 14, 2023
PORTFOLIO DYNAMIX
RIA
CRD#: 307069
Lafayette, LA
Past
May 5, 2021 - November 3, 2022
LIFEWORKS ADVISORS, LLC
RIA
CRD#: 288255
Lafayette, LA
Past
June 17, 2019 - May 18, 2021
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
LAFAYETTE, LA
Past
April 29, 2015 - February 23, 2016
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
LAFAYETTE, LA
Past
July 25, 2014 - February 23, 2016
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
LAFAYETTE, LA
Past
September 18, 2002 - February 7, 2005
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
LAFAYETTE, LA
Past
May 16, 2001 - February 7, 2005
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
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 | SPECTRUM FINANCIAL 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 | PRES FINANCIAL | POOLE LOCKE ADVISORS | PLATINUM FINANCIAL LLC | PINEHURST WEALTH MANAGEMENT | PEASON FINANCIAL GROUP | OUTREACH CAPITAL MANAGEMENT LLC | 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 | DAVIS WEALTH PARTNERS | 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.
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
Louisiana(4/17/2023)
Exams
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 | SPECTRUM FINANCIAL 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 | PRES FINANCIAL | POOLE LOCKE ADVISORS | PLATINUM FINANCIAL LLC | PINEHURST WEALTH MANAGEMENT | PEASON FINANCIAL GROUP | OUTREACH CAPITAL MANAGEMENT LLC | 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 | DAVIS WEALTH PARTNERS | 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)Loading...
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
134
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 24,756 |
| AUM (Assets Under Management) | $ 4,181,062,401 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SOUND INCOME STRATEGIES, LLC
CRD#: 173272Lafayette, LA 70508TRUST BUT VERIFY
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