William B. Hoofman

SOUND CAPITAL

North Little Rock, AR

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CRD#: 6101531

Professional summary

William Balch Hoofman, CFP® is a registered financial advisor currently at SOUND CAPITAL located in North Little Rock, Arkansas.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. William has worked at 2 firms and has passed the Series 66, SIE, Series 31 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.

BPWH Holding Company - 11 Big Stone Ct., Little Rock, AR - investment related - 50% Owner - Rental properties - June 2017 - 5 hours per week devoted to the other business - 0 hours devoted during securities trading hours. Zeiders Enterprises - 2750 Killarney Drive, Suite 100 Woodbridge, VA - not investment related - On Demand Employee - Education - March 2019 - 5 hours per month devoted to other business - up to 3 hours per month devoted during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Balch Hoofman'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

October 7, 2019 - Present

SOUND CAPITAL

RIA

CRD#: 300582

North Little Rock, AR

Past

January 8, 2013 - February 5, 2019

STEPHENS

RIA

CRD#: 3496

FAYETTEVILLE, AR

Past

November 13, 2012 - February 5, 2019

STEPHENS

CRD#: 3496

FAYETTEVILLE, AR

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

Arkansas
(10/7/2019)

IAR

Texas
(2/3/2021)

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 66

Date: 12/19/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/13/2015

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/12/2012

General Securities Representative Examination

Current Firm

SOUND CAPITAL

SOUND CAPITAL | SOUND CAPITAL LLC

CRD#: 300582 / SEC#:

Arkansas

Registered Investment Advisory firm - (10/1/2019 Approved)

Texas

Registered Investment Advisory firm - (2/2/2021 Conditional Restricted)

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Contact information

Main Address

Little Rock, AR

Mailing Address

Phone number

(501) 804-6888

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 5,019,864

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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William B. Hoofman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Balch Hoofman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND CAPITAL

STEPHENS

STEPHENS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2012

SIE

Date: 10/1/2018

Series 31

Date: 5/13/2015

Series 7

Date: 11/12/2012

Current Firm

SOUND CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUND CAPITAL

TRUST BUT VERIFY

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