Robert E. Flood

SOUND CAPITAL SOLUTIONS LLC

Wheaton, IL

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CRD#: 6529155

Professional summary

Robert Emmett Flood, who also goes by Robert Flood, is a registered financial advisor currently at SOUND CAPITAL SOLUTIONS LLC located in Wheaton, Illinois.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Robert has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert Flood

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Emmett Flood'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®

None

Experience

Current

January 5, 2024 - Present

SOUND CAPITAL SOLUTIONS LLC

RIA

CRD#: 311034

Wheaton, IL

Past

December 18, 2021 - February 3, 2025

SOUND CAPITAL DISTRIBUTORS LLC

CRD#: 310661

WHEATON, IL

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".

SOUND CAPITAL SOLUTIONS LLC

CRD#: 311034 / SEC#: 801-129056

RIA

Registered Investment Advisory firm - (1/5/2024 Approved)

Illinois

Registered Investment Advisory firm - (9/15/2023 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

Illinois
(1/5/2024)

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 66

Date: 3/29/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/18/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/20/2021

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 8/19/2022

Financial and Operations Principal Examination

Current Firm

SOUND CAPITAL SOLUTIONS LLC

CRD#: 311034 / SEC#: 801-129056

RIA

Registered Investment Advisory firm - (1/5/2024 Approved)

Illinois

Registered Investment Advisory firm - (9/15/2023 Terminated)

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Contact information

Main Address

Naples, FL

Mailing Address

Phone number

(630) 853-3300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 224,206,038

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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Robert E. Flood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Emmett Flood's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND CAPITAL SOLUTIONS LLC

SOUND CAPITAL DISTRIBUTORS LLC

Primary Firm SEC Registration

SOUND CAPITAL SOLUTIONS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2022

Series 7TO

Date: 12/18/2021

SIE

Date: 10/20/2021

Series 27

Date: 8/19/2022

Current Firm

SOUND CAPITAL SOLUTIONS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

SOUND CAPITAL SOLUTIONS LLC

TRUST BUT VERIFY

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