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Advisor at SOUND FINANCIAL ADVISORS, INC.
Cle Elum, WA | PORT ORCHARD, WA | CLE ELUM, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| SOUND FINANCIAL ADVISORS, INC. | State registered | Jun 23, 2024 | n/a | yes | CLE ELUM, WA|PORT ORCHARD, WA|Cle Elum, WA | Current employment |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Nov 20, 2017 | Nov 16, 2023 | no | Mercer Island, WA | Previous registration |
| VAN KAMPEN ADVISORS INC | n/a | Apr 22, 2004 | Jun 10, 2008 | no | OAKBROOK TERRACE, IL | Previous registration |
| JOHN HANCOCK DISTRIBUTORS LLC | n/a | Oct 28, 2003 | Nov 18, 2003 | no | SANTA BARBARA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | SOUND FINANCIAL ADVISORS, INC. | Nov 16, 2023 | Jun 23, 2024 | 220 | Firm change | Ibd to state RIA |
| VAN KAMPEN ADVISORS INC | AMERIPRISE FINANCIAL SERVICES, LLC | Jun 10, 2008 | Nov 20, 2017 | 3,450 | Firm change after gap | Other |
| JOHN HANCOCK DISTRIBUTORS LLC | VAN KAMPEN ADVISORS INC | Nov 18, 2003 | Apr 22, 2004 | 156 | Firm change | Other |