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2300 East Katella Ave Suite 200, Anaheim, CA 92806 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2025-08-17 |
| WY | RA | APPROVED | 2024-05-17 |
| MD | RA | APPROVED | 2023-09-22 |
| NY | RA | APPROVED | 2021-11-01 |
| NH | RA | APPROVED | 2021-08-18 |
| CA | RA | APPROVED | 2021-06-11 |
| TX | RA | APPROVED_RES | 2020-07-31 |
| PA | RA | APPROVED | 2020-06-03 |
| ME | RA | APPROVED | 2019-01-03 |
| NC | RA | APPROVED | 2019-01-02 |
| MA | RA | APPROVED | 2017-07-31 |
| DE | RA | APPROVED | 2017-06-07 |
| GA | RA | APPROVED | 2017-06-05 |
| NJ | RA | APPROVED | 2017-06-02 |
| AZ | RA | APPROVED | 2017-06-01 |
| CT | RA | APPROVED | 2017-06-01 |
| FL | RA | APPROVED | 2017-06-01 |
| VA | RA | APPROVED | 2017-06-01 |
Branch Locations
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 Asset Management Group Llc | Brooklyn | NY | 03/2008 | 12/2016 |
| Sound Coaching Inc | Bridgeport | CT | 07/2009 | Present |
| American Portfolios Financial Services, Inc | Holbrook | NY | 02/2011 | 05/2017 |
| Centaurus Finanical, Inc. | Anaheim | CA | 05/2017 | Present |
| Ct Institute Of Finance | Bridgeport | CT | 04/2012 | Present |
1. TAX PREPARER, CT INSTITUTE OF FINANCE, 4749 MAIN STREET, BRIDGEPORT, CT 06606. NON INVESTMENT RELATED SINCE 01/2003 AND I SPEND APPROX. 240 HOURS FROM JAN-APR. TAX PREPARATION. 2. CT INSTITUTE OF FINANCE POSITION: Tax Preparer NATURE: CT INSTITUTE OF FINANCETax preparation, planning and advice INVESTMENT RELATED: No NUMBER OF HOURS: 75 SECURITIES TRADING HOURS: 75 START DATE: 04/18/2012 ADDRESS: 231 Coram Ave, BRIDGEPORT, Shelton CT 06484, United States DESCRIPTION: Help plan for taxes and Prepare taxes and help with IRS matters 3. SOUND COACHING ACADEMY POSITION: President NATURE: Coaching and setting Goals INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/09/2012 ADDRESS: 231 Coram Ave, Shelton CT 06484, United States DESCRIPTION: Work with individual clients and small business to help achieve professional goals 4. CT INSTITUTE OF FIANANCE POSITION: President NATURE: Selling property and casualty insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/01/2019 ADDRESS: 231 Coram Ave, Shelton CT 06484, United States DESCRIPTION: Talk to current clients about homeowners, auto and business insurance 5. CT INSTITUTE OF FINANCE POSITION: Investment Advisor Representative NATURE: CT INSTITUTE OF FINANCE DBA for Marketing and Branding Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 04/18/2012 ADDRESS: 231 Coram Ave, Shelton CT 06484, United States DESCRIPTION: Financial and advisory services 6. SOUND COACHING INC POSITION: Certified Coach NATURE: Coaching and instructing others on how to coach INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 07/07/2009 ADDRESS: 231 Coram Ave, Shelton CT 06484, United States DESCRIPTION: Coaching and helping clients achieve their goals
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-10 |
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