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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-07-10 |
| TX | RA | APPROVED_RES | 2025-07-10 |
Branch Locations
7075 W Bell Road Suite 8, Glendale, AZ 85308 • United States
100 Madison Street Suite 1300, Syracuse, NY 13202 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sound Advice Financial Planning | Houston | TX | 10/1997 | Present |
| National Planning Corporation | Santa Monica | CA | 08/2011 | 10/2017 |
| Woodbury Financial Services Inc | Glendale | AZ | 10/2017 | 12/2023 |
| Cadaret, Grant & Co., Inc. | Glendale | AZ | 12/2023 | 07/2025 |
| Lpl Financial Llc | Glendale | AZ | 07/2025 | Present |
1. 07/10/2025- Sound Advice Financial Planning- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 07/01/1993- 12 Hours Per Month- 2 Hours During Trading 2. 07/10/2025- Dimona.biz- Business Owner- Not INV Related- Home Based- Start date 07/20/2024- 20 Hours Per Month 3. 07/10/2025-Sound Advice Financial Planning- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 07/01/1993- 160 Hours Per Month- 100 Hours During Trading 4. 07/10/2025-Essential Financial Protection- Business Owner- Not INV Related- Home Based- Start date 01/02/2018- 1 Hour Per Month- 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-04-30 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-07 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-01 |
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