James Francis Locke

Employer firm

Sound Income Strategies, LLC CRD 173272

$4.18B regulatory AUM 57 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Educational seminars

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

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

Current Employers

Employment History

• 02/2018 → 07/2018
  Bfc Planning, Inc.
  Wilmington, DE
• 08/2005 → 06/2017
  Compass Institutional Marketing
  Boca Raton, FL
• 09/2017 → 06/2020
  Locke Industries Llc
  Wilmington, DE
• 04/2016 → 05/2020
  Uber
  Wilmington, DE
• 04/2016 → 05/2020
  Lyft
  Wilmington, DE
• 07/2018 → Present
  Sound Income Strategies, Llc
  Wilmington, DE
• 09/2017 → Present
  Poole Locke Associates
  Wilmington, DE

Previous Registrations

• 2018-06-19 → 2018-07-03
  Bfc Planning, Inc.
  Wilmington, DE
  Cedar Rapids, IA
• 2018-02-15 → 2018-06-15
  Bfc Planning, Inc.
  Wilmington, DE
  Cedar Rapids, IA

Other Businesses

1.POOLE LOCKE ASSOCIATES, LLC-Y-WILMINGTON, DE- INVESTMENT RELATED. FIXED INSURANCE SALES.ENCPMPASSES APPROXIMATELY 50% OF BUSINESS HOURS. 1521 CONCORD PIKE SUITE 103 WEST WILMINGTON DE 19803. 2. THE RETIREMENT INCOME SOURCE FRANCHISE OWNER AND DBA- INVESTMENT RELATED. MARKETING TO PROSPECTIVE CLIENT FOR FIXED INSURANCE AND INVESTMENT ADVISORY SERVICES. START DATE 7/27/22. THIS DOES NOT ENCOMPASS ANY BUSINESS HOURS. 3. BABY GUARD OF PALM BEACH AND BROWARD, LLC - NON-INVESTMENT RELATED. 10% OWNER. INSTALLATION OF REMOVABLE FENCES AROUND POOLS. THIS DOES NOT ENCOMPASS ANY BUSINESS HOURS. 11947 W. SAMPLE ROAD, CORAL SPRINGS, FL 33065

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-01-19

Other Names

• James Francis Locke