Brett R. Sohns

LIFEGOAL INVESTMENTS

Saratoga Springs, NY

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CRD#: 5472309

Professional summary

Brett Richard Sohns is a registered financial advisor currently at LIFEGOAL INVESTMENTS, LLC located in Saratoga Springs, New York.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Brett has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 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.

(1)Forever Young Spring, LLC; Saratoga Springs, NY ; Commercial Real Estate; Start: 4/2016; Owner; Approximately 1/2 hour spent during month; No time spent during securities trading hours; Not Investment related. (2)LifeGoal Investments, LLC; Saratoga Springs, NY; Investment Related; Co-Founder; Started 09/2021; No time spent on this activity. (3) LifeGoal Lending LLC; No; Saratoga Springs, NY; Owner; 10/2024; 5% of time a month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Richard Sohns'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

July 11, 2024 - Present

LIFEGOAL INVESTMENTS, LLC

RIA

CRD#: 327833

Saratoga Springs, NY

Past

September 10, 2021 - June 29, 2023

LIFEGOAL INVESTMENTS LLC

RIA

CRD#: 313831

SARATOGA SPRINGS, NY

Past

November 20, 2019 - May 7, 2021

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

Saratoga Springs, NY

Past

October 14, 2019 - May 7, 2021

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

August 19, 2016 - October 15, 2019

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

WAYNE, PA

Past

March 28, 2012 - August 5, 2016

SCHRODER FUND ADVISORS LLC

CRD#: 24129

NEW YORK, NY

Past

January 3, 2012 - February 23, 2012

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

July 14, 2011 - December 31, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

CRD#: 146183

JERSEY CITY, NJ

Past

April 16, 2008 - April 15, 2011

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

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".

LIFEGOAL INVESTMENTS, LLC

LIFEGOAL INVESTMENTS, LLC | LIFEGOAL WEALTH ADVISORS LLC | LIFEGOAL INVESTMENTS,LLC

CRD#: 327833 / SEC#: 801-131015

RIA

Registered Investment Advisory firm - (8/29/2024 Approved)

California

Registered Investment Advisory firm - (10/10/2024 Terminated)

Florida

Registered Investment Advisory firm - (9/10/2024 Terminated)

New York

Registered Investment Advisory firm - (9/10/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/10/2024 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

Louisiana
(9/16/2025)

IAR

New York
(7/11/2024)

IAR

Texas
(7/11/2024)

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: 11/15/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/18/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/2008

General Securities Representative Examination

Current Firm

LIFEGOAL INVESTMENTS, LLC

LIFEGOAL INVESTMENTS, LLC | LIFEGOAL WEALTH ADVISORS LLC | LIFEGOAL INVESTMENTS,LLC

CRD#: 327833 / SEC#: 801-131015

RIA

Registered Investment Advisory firm - (8/29/2024 Approved)

California

Registered Investment Advisory firm - (10/10/2024 Terminated)

Florida

Registered Investment Advisory firm - (9/10/2024 Terminated)

New York

Registered Investment Advisory firm - (9/10/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/10/2024 Terminated)

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Contact information

Main Address

Saratoga Springs, NY

Mailing Address

Phone number

(607) 434-0742

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A/2B - SEC (10/28/2025)

Regulatory assets under management

Total Number of Accounts	643
AUM (Assets Under Management)	$ 271,000,000

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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Brett R. Sohns

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Richard Sohns's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFEGOAL INVESTMENTS LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

HARTFORD FUNDS DISTRIBUTORS, LLC

SCHRODER FUND ADVISORS LLC

BLACKROCK INVESTMENTS, LLC

BLACKROCK FUND DISTRIBUTION COMPANY

FRANKLIN DISTRIBUTORS, LLC

Primary Firm SEC Registration

LIFEGOAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2019

Series 63

Date: 6/23/2008

Series 7TO

Date: 4/18/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/14/2008

Current Firm

LIFEGOAL INVESTMENTS, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIFEGOAL INVESTMENTS, LLC

TRUST BUT VERIFY

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