Unclaimed Profile

James Richard Adams

SOUND INVESTMENT STRATEGIES, INC.·MUKILTEO, Washington

Series 7, Series 63, Series 65Clean record33 years registeredSOUND INVESTMENT STRATEGIES, INC.

619 4TH STREET, SUITE B, MUKILTEO, WA 98275CRD# 500891Firm CRD# 141440

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Richard Adams · MUKILTEO, WA

Registration

CRD #500891 · SOUND INVESTMENT STRATEGIES, INC. · 33 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SOUND INVESTMENT STRATEGIES, INC.

SOUND INVESTMENT STRATEGIES, INC.

Oct 2006 – Aug 2021

MUKILTEO, WA

GUARDIAN CAPITAL INC

Sep 1992 – Dec 2007

MUKILTEO, WA

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · September 14, 1992

Years registered · 33

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SOUND INVESTMENT STRATEGIES, INC.

CRD 141440 · SEC 801-67170

AUM

$34M

Regulatory assets under management

Employees

203 client accounts

Services offered by SOUND INVESTMENT STRATEGIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SOUND INVESTMENT STRATEGIES, INC. →

Introduction

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Frequently Asked Questions

What services does James Richard Adams offer?

James Richard Adams specializes in Financial Planning, Investment Management.

What are James Richard Adams's credentials?

James Richard Adams is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Richard Adams located?

James Richard Adams is based in MUKILTEO, Washington, last registered with SOUND INVESTMENT STRATEGIES, INC..

How does James Richard Adams charge for services?

James Richard Adams's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SOUND INVESTMENT STRATEGIES, INC.?

SOUND INVESTMENT STRATEGIES, INC. has approximately 1 employees and manages $34M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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Nearby cities in Washington

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Research

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