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Current Employers
Sound Income Strategies, Llc

500 W Cypress Creek Road Suite 290, Fort Lauderdale, FL 33309 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-04-29
  • CT RA
    APPROVED
    Since 2024-04-29

Branch Locations

12 Roosevelt Avenue Suite 23, Mystic, CT 06355 • United States

1921 Boston Post Road Ste 8, Westbrook, CT 06498 • United States

500 W Cypress Creek Road Suite 290, Fort Lauderdale, FL 33309 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New London CT 05/2018 08/2023
Savings Institue Bank & Trust Westerly RI 10/2017 05/2018
Unemployed North Stonington CT 04/2017 10/2017
Bank Of America Lincoln RI 02/2016 04/2017
Bank Of America, N.A. New London CT 07/2018 08/2023
Scranton Financial Group Llc Westbrook CT 04/2024 Present
Sound Income Strategies Llc Fort Lauderdale FL 04/2024 Present
Unemployed North Stonington CT 08/2023 04/2024
  • 05/2018 → 08/2023
    New London, CT
  • 10/2017 → 05/2018
    Savings Institue Bank & Trust
    Westerly, RI
  • 04/2017 → 10/2017
    Unemployed
    North Stonington, CT
  • 02/2016 → 04/2017
    Bank Of America
    Lincoln, RI
  • 07/2018 → 08/2023
    Bank Of America, N.A.
    New London, CT
  • 04/2024 → Present
    Scranton Financial Group Llc
    Westbrook, CT
  • 04/2024 → Present
    Fort Lauderdale, FL
  • 08/2023 → 04/2024
    Unemployed
    North Stonington, CT
Previous Registrations
Other Businesses

1. Scranton Financial Group LLC - Client Service Advisor. Investment related. Servicing new and existing clients for Investment Advisory and Fixed Insurance services. 1921 Boston Post Road Ste 8, Westbrook, CT 06498. This encompasses approximately 80% of business hours. 2. Scranton Financial Group LLC - Fixed Insurance Sales. Investment related. Sales of Fixed Insurance, Fixed Annuities and Life Insurance products. 1921 Boston Post Road Ste 8, Westbrook, CT 06498. This encompasses approximately 20% of business hours. 3. Retirement Income Source LLC - DBA. Investment related. Marketing to prospective clients for Fixed Insurance and Investment Advisory services.1921 Boston Post Road Ste 8, Westbrook, CT 06498. This does not encompass any business hours. 4. Scranton Financial Group, LLC DBA Retirement Income Source SFG. Investment related. Marketing to prospective clients for Fixed Insurance and Investment Advisory services.1921 Boston Post Road Ste 8, Westbrook, CT 06498. This does not encompass any business hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-30
  • S66 Uniform Combined State Law Examination
    2018-08-30
Other Names
  • Maurice Nelligan

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