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Essex, CT • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-21 |
| TX | RA | APPROVED_RES | 2018-11-26 |
| CT | RA | APPROVED | 1998-03-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Essex | CT | 05/2000 | 11/2017 |
| Lpl Financial Llc | Essex | CT | 11/2017 | 10/2018 |
| Sound Planning And Investments, Llc | Essex | CT | 11/2017 | Present |
1. 11/29/2017 - Frank Flores - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 1/1985 - 5 Hours Per Month/0 Hours During Securities Trading - Insurance Agent - Life, LTC and Fixed Annuities. 2. 11/29/2017 - Sound Planning and Investments LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Principal - Start Date 12/05/2017 - 130 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Sound Planning and Investments, LLC., an independent investment advisor firm. I started this business activity in Dec 2017. I expect to spend approximately 130 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-09-26 |
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