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RIA / WealthAdvisor45 years in industry

THOMAS PRESTON FALTER

Advisor at SOUND INCOME STRATEGIES, LLC

Cranberry Township, PA | FORT LAUDERDALE, FL | Weirton, WV | New Cumberland, WV

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Search this name across graphsid dfx:ria:6f031f0f-b221-e1e0-4f0a-e9dbc6aa9188

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 3, 1998 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SOUND INCOME STRATEGIES, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 18, 1983
First registration: Aug 3, 1998
Dual registered: no
Other names: TOM FALTER
IAPD individual key: 1154956

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SOUND INCOME STRATEGIES, LLC	Independent wealth	Aug 16, 2019	n/a	yes	New Cumberland, WV\|Weirton, WV\|FORT LAUDERDALE, FL\|Cranberry Township, PA	Current employment
GLOBAL INVESTMENT ADVISORS, LLC	n/a	Jan 5, 2017	Dec 26, 2019	no	New Cumberland, WV	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Oct 3, 2016	Nov 11, 2016	no	NEW CUMBERLAND, WV	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Jan 3, 2005	Oct 3, 2016	no	Lynnfield, MA\|LYNNFIELD, MA\|GILFORD, NH\|LYNNFIELD, MA\|NEW CUMBERLAND, WV\|LYNNFIELD, MA\|LYNNFIELD, MA\|LYNNFIELD, MA	Previous registration
EASTERN POINT ADVISORS INC.	n/a	Aug 3, 1998	Dec 31, 2004	no	WEIRTON, WV	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GLOBAL INVESTMENT ADVISORS, LLC	SOUND INCOME STRATEGIES, LLC	Dec 26, 2019	Aug 16, 2019	-132	Firm change after gap	Other
CETERA ADVISORS LLC	GLOBAL INVESTMENT ADVISORS, LLC	Nov 11, 2016	Jan 5, 2017	55	Firm change	Other
INVESTORS CAPITAL ADVISORY	CETERA ADVISORS LLC	Oct 3, 2016	Oct 3, 2016	0	Channel change	Other
EASTERN POINT ADVISORS INC.	INVESTORS CAPITAL ADVISORY	Dec 31, 2004	Jan 3, 2005	3	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
30613:10299:MA:2016-10-03	Oct 3, 2016	Oct 3, 2016	LYNNFIELD, MA	Firm change

Relationships

Registered with (5)

→ SOUND INCOME STRATEGIES, LLCRegistered adviserregistration: current employment
Aug 16, 2019 to presentfactForm ADV
→ GLOBAL INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 5, 2017 to Dec 26, 2019factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Oct 3, 2016 to Nov 11, 2016factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Jan 3, 2005 to Oct 3, 2016factForm ADV
→ EASTERN POINT ADVISORS INC.Registered adviserregistration: previous registration
Aug 3, 1998 to Dec 31, 2004factForm ADV

Dated events

No dated event names this entity yet.