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Dwight William Rich

Investment Adviser Representative at SOUND INCOME STRATEGIES, LLC

Louisville, KYCRD #2433237Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
31 yrs
States Registered
1 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Dwight William Rich has worked in the securities industry since 1995. They have passed the Series 66, 63, 10, 9, and 7 examinations. They are registered to provide investment advisory services in Kentucky.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Kentucky
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 11/6/2001
Series 63
Uniform Securities Agent State Law Examination
Passed 5/31/1995
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 5/19/1995
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 9/1/2015
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 8/10/2015

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Sound Income Strategies, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SOUND INCOME STRATEGIES, LLCCurrent
5/29/2025Louisville, KY
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
4/26/20176/12/2025Louisville, KY
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
2/21/20173/21/2017Louisville, KY
AMERIPRISE FINANCIAL SERVICES, INC.
10/2/20152/16/2017Louisville, KY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
11/14/200110/9/2015Louisville, KY

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Dwight William Rich has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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