Frank Flores, financial advisor Essex CT

Frank Flores

CRD Number: 1180556
Current Firm: Sound Planning And Investments, LLC

Frank Flores (CRD# 1180556) is an Investment Advisor Representative working at Sound Planning And Investments, LLC in Essex, CT and has over 32 years of experience in the finance industry. Frank Flores has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Sound Planning And Investments, LLC Essex, CT Nov 2017 - Current 6
Lpl Financial LLC Essex, CT Nov 2017 - Oct 2018 < 1
National Planning Corporation Essex, CT May 2000 - Nov 2017 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1991
Contact Info for Frank J. Flores
Phone Number: 860-767-0375
Registered State(s):
  • CA
  • CT
  • TX
Current Firm Details
Sound Planning And Investments, LLC
Firm's CRD Number: 111892
By the Numbers
  • Total Assets Under Management
    79
    MILLIONS
  • Total Number of Accounts
    62
    ACCOUNTS
  • Average Account Value
    $1,281,632
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, CT, TX

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