Frank Flores
Frank Flores is a CFP-designated registered investment advisor at Sound Planning and Investments, LLC, based in Essex, CT, with 42 years of industry experience. Frank operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 60 clients with $88M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SPI offers investment management services for a fee based on a percentage of your portfolio. The fees range from 0.25% to 1.5% per year, depending on the size and complexity of your investments. Fees may be negotiable in certain circumstances.
Location
Essex, CT
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Frank is an insurance agent since 1985, selling life, long-term care, and fixed annuities, dedicating a few hours per week. He is also a principal at Sound Planning and Investments LLC, an independent investment advisor firm, since 2017, spending nearly full-time on this activity.
Employment History
Current Registrations
Sound Planning and Investments, LLC
Previous Registrations
LPL Financial LLCBroker
National Planning CorporationBroker
Ifg Network Securities, INC.Broker
Associated Securities CORP.Broker
Diversified Securities, IncorporatedBroker
Crest Capital, INC.Broker
First Liberty Securities, INC.Broker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.