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Investment Adviser Firm Summary

SOUND INCOME STRATEGIES, LLC (CRD# 173272 / SEC# 801-80425)
Alternate Names: SOUND INCOME STRATEGIES, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/22/2014

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/08/2016
Arkansas 12/01/2017
California 12/03/2014
Colorado 12/01/2017
Connecticut 10/22/2014
Florida 10/22/2014
Georgia 03/01/2016
Idaho 12/03/2014
Illinois 05/28/2015
Indiana 08/28/2017
Iowa 06/26/2015
Kansas 05/15/2015
Massachusetts 04/05/2018
Michigan 06/10/2015
Minnesota 06/14/2017
Mississippi 10/31/2017
Missouri 12/03/2014
Montana 12/03/2014
Nebraska 12/01/2015
Nevada 03/15/2017
New Jersey 01/09/2015
New Mexico 06/14/2017
New York 10/22/2014
North Carolina 10/31/2017
Ohio 09/09/2016
Pennsylvania 01/09/2015
South Carolina 06/14/2017
South Dakota 03/15/2017
Tennessee 06/08/2016
Texas 11/14/2014
Virginia 02/04/2016
Washington 12/03/2014
Wisconsin 07/08/2016

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser