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Current Employers
Sound Income Strategies, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-03-26
  • CA RA
    APPROVED
    Since 2015-03-26

Branch Locations

3914 Murphy Canyon Road A-128, San Diego, CA 92123 • United States

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

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Mccartin And Associates San Diego CA 09/2001 Present
Mccartin Financial San Diego CA 12/2010 09/2016
Sound Income Strategies, Llc New York NY 03/2015 Present
Harvest Financial Group Llc Richmond VA 09/2016 07/2017
Previous Registrations
  • 2016-10-03 → 2017-07-12
    San Diego, CA
    Richmond, VA
  • 2011-01-26 → 2016-08-01
    Mccartin Financial
    San Diego, CA
  • 2009-09-17 → 2010-12-31
    Investment Advisors Corp
    San Diego, CA
  • 2008-02-05 → 2008-11-10
    Woodstock Financial Group, Inc.
    Woodstock, GA
    Woodstock, GA
    San Diego, CA
  • 2006-05-30 → 2007-11-02
    Wellstone Securities, Llc
    Woodland Hills, CA
    San Diego, CA
    Cumming, GA
  • 2005-02-17 → 2006-02-08
    Osaic Fs, Inc.
    La Jolla, CA
Other Businesses

1. McCARTIN AND ASSOCIATES/ McCARTIN FINANCIAL-INVESTMENT-RELATED,3914 MURPHY CANYON ROAD A-128 SAN DIEGO, CA. 92123,SALES OF LIFE INSURANCE AND FIXED ANNUITY PRODUCTS,SOLE PROPRIETOR,OWNER, APPROXIMATELY120 HOURS PER MONTH DURING TRADING HOURS,INDEPENDENT INSURANCE AGENT; DETERMINE NEEDS FOR AND SALES OF FIXED INSURANCE PRODUCTS. 2. TRUSTEE OF MCKRAUT REVOCABLE LIVING TRUST - OVERSEE TRANSFER OF ASSETS UPON DEATH OF SPOUSE. NON- INVESTMENT RELATED. 0 HOURS PER MONTH. 3.THE RETIREMENT INCOME SOURCE - FRANCHISEEE - INVESTMENT RELATED. - MARKETING TO PERSPECTIVE CLIENTS FOR INVESTMENT ADVISORY AND FIXED INSURANCE SERVICES. 0 HOURS PER MONTH.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-22
S63 Uniform Securities Agent State Law Examination 1999-04-27
  • S66 Uniform Combined State Law Examination
    2004-12-22
  • S63 Uniform Securities Agent State Law Examination
    1999-04-27
Other Names
  • John Mccartin

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