Dominic J. Dalmaso

SOUND CAPITAL SOLUTIONS LLC

Wheaton, IL

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CRD#: 6741567

Professional summary

Dominic Joseph Dalmaso is a registered financial advisor currently at SOUND CAPITAL SOLUTIONS LLC located in Wheaton, Illinois.

Dominic is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Dominic has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Joseph Dalmaso'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

September 5, 2021 - February 3, 2025

SOUND CAPITAL DISTRIBUTORS LLC

CRD#: 310661

WHEATON, IL

Past

September 2, 2021 - September 15, 2023

SOUND CAPITAL SOLUTIONS LLC

RIA

CRD#: 311034

WHEATON, IL

Past

July 23, 2018 - August 2, 2021

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

June 20, 2018 - August 2, 2021

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

June 15, 2017 - June 18, 2018

M1 FINANCE LLC

CRD#: 281242

CHICAGO, 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: 7/20/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/10/2021

General Securities 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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Dominic J. Dalmaso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dominic Joseph Dalmaso's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND CAPITAL DISTRIBUTORS LLC

SOUND CAPITAL SOLUTIONS LLC

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

M1 FINANCE LLC

Primary Firm SEC Registration

SOUND CAPITAL SOLUTIONS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2018

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/15/2017

Series 24

Date: 12/10/2021

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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