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Kristin Danielle Carleton

Investment Adviser Representative at SOUND INCOME STRATEGIES, LLC

Richmond, VACRD #4485193Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
17 yrs
States Registered
1 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Virginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/2/2015
Series 63
Uniform Securities Agent State Law Examination
Passed 3/27/2008
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 8/7/2010
Series 7
General Securities Representative Examination
Passed 3/20/2008

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
11/1/2023Richmond, VA
MML INVESTORS SERVICES, LLC
5/9/202311/1/2023Henrico, VA
JAMES RIVER ASSET MANAGEMENT, LLC
11/25/20195/2/2023Midlothian, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
2/11/201510/22/2019Richmond, VA

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. Kristin Danielle Carleton 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.

Kristin Danielle Carleton - Financial Advisor in Richmond, VA | AdvisorFinder