Frank Joe Flores

Employer firm

Sound Planning And Investments, LLC CRD 111892

$99.0M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2000 → 11/2017
  National Planning Corporation
  Essex, CT
• 11/2017 → 10/2018
  Lpl Financial Llc
  Essex, CT
• 11/2017 → Present
  Sound Planning And Investments, Llc
  Essex, CT

Other Businesses

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.

Exams

• S63 Uniform Securities Agent State Law Examination
  1991-09-26

Designations

• Certified Financial Planner