JP
Joel S. Petersen
SOUND LEGACY WEALTH ADVISORS
KIRKLAND, WA
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CRD#: 5036886
JP
Professional summary
Joel S Petersen, who also goes by Joel Stuart Petersen, is a registered financial advisor currently at SOUND LEGACY WEALTH ADVISORS, LLC located in Kirkland, Washington.
Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Joel has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joel Stuart Petersen
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. RENTAL PROPERTY; INVESTMENT RELATED; BELLEVUE, WA; RENTAL; 11/11; 5 HOURS DEVOTED PER MONTH/0 DURING TRADING HOURS; MANAGEMENT OF RENTAL. 2. ROTARY CLUB OF EMERALD CITY; NOT INVESTMENT RELATED; SEATTLE, WA; VOLUNTEER; 7/19; 2 HOURS DEVOTED PER MONTH/0 DURING TRADING HOURS; MEMBER/BOARD OF TRUSTEES. 3. Streamline Digital Holdings LLC; Investment related: No; 383 Inverness Parkway Englewood CO 80112 USA; Licensed reseller of streaming technology.; Board member; 2023-01-03; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 0; Oversight and strategy. 4. Simutron Capital LLC; Investment related: Yes; 10900 NE 4th St, Ste 2300 Bellevue WA 98004 United States; Single member LLC investment vehicle for a client of our firm.; Manager; 2023-01-02; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 0; Administer the LLC and execute client's investment instructions. 5. Circinus Capital LLC; Investment related: Yes; 10900 NE 4th St, Ste 2300 Bellevue WA 98004 United States; Single member LLC investment vehicle for a client of our firm; Manager; 2023-01-02; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 0; Administration of the LLC and execution of client investment instructions. 6. Name of outside business: Snikrep Real Estate LLC; Is the business investment related: Yes; Location of the business: 10900 NE 4th St, Ste 2300 - 2362 Bellevue WA 98004 United States; Description of the business: This is a client's real estate investment holding company.; Position Title: Manager; Responsibilities Duties: Administration; Start date with business: 2024-06-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; 7. Name of outside business: Xist.GG; Is the business investment related: No; Location of the business: 10900 NE 4th St, Ste 2300 - 2362 Bellevue WA 98004 United States; Description of the business: Software Programing; Position Title: Manager; Responsibilities Duties: Administration; Start date with business: 2024-06-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; 8. Name of outside business: Reeplayer, Inc.; Is the business investment related: No; Location of the business: 3426 Mentone Ave Los Angeles CA 90034; Description of the business: Manufacturer and seller of AI bases sports cameras; Position Title: Board Member; Responsibilities Duties: Board of Directors; Start date with business: 2025-04-07; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 1; Website address for the organization: www.reeplayer.com. 9. Name of outside business: Snikrep Navillus LLC; Is the business investment related: No; Location of the business: 10900 NE 4th St, Ste 2300 - 2362 Bellevue WA 98004; Description of the business: Holding entity for client owned residential real estate; Position Title: Manager; Responsibilities Duties: Administration; Start date with business: 2025-03-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 0. 10. Kirkland Community Foundation; Board Member; Not Investment Related; 603 4th Ave, Suite 500 Kirkland WA 98033; Description: community foundation; Responsibilities: Oversight, planning, fundraising; 2025-07-01; 0 of 2 Hours per month devoted to business during trading hours; No compensation received.
CRS (Client Relationship Summary) - RIA
Click below to view Joel S Petersen'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
January 2, 2020 - Present
SOUND LEGACY WEALTH ADVISORS, LLC
RIA
CRD#: 306332
KIRKLAND, WA
Past
March 23, 2011 - January 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SEATTLE, WA
Past
March 22, 2011 - January 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SEATTLE, WA
Past
February 1, 2006 - December 14, 2010
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
NEW YORK, NY
Past
January 19, 2006 - December 14, 2010
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
SEATTLE, WA
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
Texas(3/18/2021)
IAR
Washington(1/2/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SL
SOUND LEGACY WEALTH ADVISORS, LLC
SOUND LEGACY LLC | SOUND LEGACY WEALTH ADVISORS, LLC
CRD#: 306332 / SEC#: 801-117779
RIA
Registered Investment Advisory firm - (7/14/2020 Terminated)Texas
Registered Investment Advisory firm - (3/5/2021 Conditional Restricted)Washington
Registered Investment Advisory firm - (7/14/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Kirkland, WA
Mailing Address
10900 Ne 4th Street Suite 2300-2362, Bellevue, WA 98004
Phone number
(425) 800-6862
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 118 |
| AUM (Assets Under Management) | $ 92,000,000 |
Red Flags
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