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RIA / WealthAdvisor27 years in industry

JOHN EDWARD MCCARTIN

Advisor at SOUND INCOME STRATEGIES, LLC

FORT LAUDERDALE, FL | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:ff82cfed-02f5-520f-1c39-1a45f1dc0e50

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2005 to Sep 14, 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: Apr 27, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Apr 27, 1999
First registration: Feb 17, 2005
Dual registered: no
Other names: JOHN MCCARTIN
IAPD individual key: 1634978

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	Mar 26, 2015	n/a	yes	SAN DIEGO, CA\|FORT LAUDERDALE, FL	Current employment
HARVEST FINANCIAL GROUP, LLC	Former SEC adviser	Oct 3, 2016	Jul 12, 2017	no	San Diego, CA\|RICHMOND, VA	Previous registration
MCCARTIN FINANCIAL	n/a	Jan 26, 2011	Aug 1, 2016	no	SAN DIEGO, CA	Previous registration
INVESTMENT ADVISORS CORP	Former SEC adviser	Sep 17, 2009	Dec 31, 2010	no	SAN DIEGO, CA	Previous registration
WOODSTOCK FINANCIAL GROUP, INC.	Former SEC adviser	Feb 5, 2008	Nov 10, 2008	no	WOODSTOCK, GA\|WOODSTOCK, GA\|SAN DIEGO, CA	Previous registration
WELLSTONE SECURITIES, LLC	n/a	May 30, 2006	Nov 2, 2007	no	WOODLAND HILLS, CA\|SAN DIEGO, CA\|CUMMING, GA	Previous registration
OSAIC FS, INC.	Former SEC adviser	Feb 17, 2005	Feb 8, 2006	no	LA JOLLA, CA	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
HARVEST FINANCIAL GROUP, LLC	n/a	Jul 12, 2017	n/a	n/a	Departure no registered destination	Departure
MCCARTIN FINANCIAL	SOUND INCOME STRATEGIES, LLC	Aug 1, 2016	Mar 26, 2015	-494	Firm change after gap	Other
INVESTMENT ADVISORS CORP	MCCARTIN FINANCIAL	Dec 31, 2010	Jan 26, 2011	26	Firm change	Other
WOODSTOCK FINANCIAL GROUP, INC.	INVESTMENT ADVISORS CORP	Nov 10, 2008	Sep 17, 2009	311	Firm change	Other
WELLSTONE SECURITIES, LLC	WOODSTOCK FINANCIAL GROUP, INC.	Nov 2, 2007	Feb 5, 2008	95	Firm change	Other
OSAIC FS, INC.	WELLSTONE SECURITIES, LLC	Feb 8, 2006	May 30, 2006	111	Firm change	Other

Relationships

Registered with (7)

→ SOUND INCOME STRATEGIES, LLCRegistered adviserregistration: current employment
Mar 26, 2015 to presentfactForm ADV
→ HARVEST FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Oct 3, 2016 to Jul 12, 2017factForm ADV
→ MCCARTIN FINANCIALRegistered adviserregistration: previous registration
Jan 26, 2011 to Aug 1, 2016factForm ADV
→ INVESTMENT ADVISORS CORPRegistered adviserregistration: previous registration
Sep 17, 2009 to Dec 31, 2010factForm ADV
→ WOODSTOCK FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Feb 5, 2008 to Nov 10, 2008factForm ADV
→ WELLSTONE SECURITIES, LLCRegistered adviserregistration: previous registration
May 30, 2006 to Nov 2, 2007factForm ADV
→ OSAIC FS, INC.Registered adviserregistration: previous registration
Feb 17, 2005 to Feb 8, 2006factForm ADV

Dated events

No dated event names this entity yet.