Richard Buel Bates

Current Employers

Sound Income Strategies, Llc

500 W Cypress Creek Road Suite 290, Fort Lauderdale, FL 33309 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2019-03-19

FL RA
APPROVED

Since 2019-03-19

Branch Locations

500 W Cypress Creek Road Suite 290, Fort Lauderdale, FL 33309 • United States

500 West Cypress Creek Road Suite 250, Fort Lauderdale, FL 33309 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Integrity Investment & Tax Advisory, Llc (159803)	Liberty Lake	WA	05/2011	01/2024
Sound Income Strategies, Llc	New York	NY	12/2014	12/2017
Sound Income Strategies, Llc	Fort Lauderdale	FL	01/2019	Present
Retirement Income Source Of Fort Lauderdale	Fort Lauderdale	FL	02/2024	Present

05/2011 → 01/2024

Integrity Investment & Tax Advisory, Llc (159803)

Liberty Lake, WA
12/2014 → 12/2017

Sound Income Strategies, Llc

New York, NY
01/2019 → Present

Sound Income Strategies, Llc

Fort Lauderdale, FL
02/2024 → Present

Retirement Income Source Of Fort Lauderdale

Fort Lauderdale, FL

Previous Registrations

2014-12-08 → 2017-12-31

Sound Income Strategies, Llc

Spokane, WA

Fort Lauderdale, FL
2012-04-19 → 2012-12-31

Integrity Investment & Tax Advisory, Llc

Liberty Lake, WA
2008-11-13 → 2011-12-31

Investment Advisors Corp

Kallispell, MT

Liberty Lake, WA
2007-10-01 → 2008-11-17

Stifel Independent Advisors, Llc

St. Louis, MO

Kalispell, MT
2006-08-11 → 2007-10-03

Kcd Financial, Inc.

Green Bay, WI

Kalispell, MT
2003-10-17 → 2006-08-14

Stifel Independent Advisors, Llc

Kalispell, MT

Kalispell, MT
2002-05-13 → 2003-10-28

Wells Fargo Advisors Financial Network, Llc

Kalispell, MT

Other Businesses

1. RETIREMENT INCOME SOURCE OF FORT LAUDERDALE - INVESTMENT RELATED. 500 W. CYPRESS CREEK RD, STE 250, FORT LAUDERDALE, FL 33309 - FIXED INSURANCE AND FIXED ANNUITY SALES. OWNER AND DBA; STARTED 02/2024; ENCOMPASSES APPROXIMATELY 20% OF BUSINESS HOURS. 2. DISC GOLF TOURNAMENT PARTICIPANT FOR A FEE - NON INVESTMENT RELATED - STARTED 10/1/2014 3. SOUND INCOME GROUP, LLC - NON- INVESTMENT RELATED - 500 W. CYPRESS CREEK RD, STE 250, FORT LAUDERDALE, FL 33309 - BUSINESS DEVELOPMENT COACH - COACHING ADVISORS AND AGENTS - SALARY BASED - ENCOMPASSES APPROXIMATELY 80% OF BUSINESS HOURS. STARTED 12/12/2024. 4. RETIREMENT INCOME SOURCE DBA - INVESTMENT RELATED. MARKETING TO PROSPECTIVE CLIENTS FOR INVESTMENT ADVISORY AND FIXED INSURANCE SERVICES. 2/2024-PRESENT. THIS DOES NOT ENCOMPASS ANY BUSINESS HOURS. STARTED 12/12/2024. 5. SOUND INCOME GROUP - INVESTMENT RELATED - 500 W. CYPRESS CREEK RD, STE 250, FORT LAUDERDALE, FL 33309 - PASSIVE NON-VOTING MINORITY OWNER OF LESS THAN 1%. 1-1-2024 - PRESENT. THIS DOES NOT ENCOMPASS ANY BUSINESS HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-11-03
S63	Uniform Securities Agent State Law Examination	1986-02-04

S65 Uniform Investment Adviser Law Examination

2014-11-03
S63 Uniform Securities Agent State Law Examination

1986-02-04

Other Names

Rick Bates

View on SEC IAPD