Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Credentials
Series 63, Series 65
Experience Industry experience
42 years
Location
Weirton, WV 26062
Sound Income Strategies, LLC
Multi-team
Thomas Falter is a financial advisor at Sound Income Strategies, LLC with 41 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at several firms including Pinnacle Investments, Essex Securities, Cetera Advisors, and Investors Capital Corp. Outside of his advisory role, he owns North American Sporting, a business licensed to sell firearms and provide concealed carry classes. Sound Income Strategies, LLC manages approximately $4.0 billion in client assets and serves a diverse client base including individuals, pension plans, trusts, and corporations. The firm focuses on customized managed portfolios with an emphasis on fixed-income analysis and equity review, offering both discretionary and non-discretionary services.
Based on Sound Income Strategies, LLC
Based on Sound Income Strategies, LLC
Financial planning fees can be fixed fees negotiated in advance per plan
$0+: up to 1.75% annually N/A - N/A: up to 2.0% annually for a limited select group with special needs requiring additional attention
Commissions and trail fees from sale of mutual funds, variable annuities, and insurance products by select IA-Reps registered with affiliated broker-dealer Sound Income Wealth, LLC
Financial planning services hourly fees with a minimum of $300 per plan
Account minimum: $25,000 (may be waived based on client needs and complexity) Fee-only: Asset management fees, financial planning fees charged hourly or fixed fee, no commissions for advisory services
Weirton, WV
3600 West Street
Weirton WV 26062
Advisors at this office
2
West Virginia
42 years of industry experience
Pinnacle Investments, LLC
2020 - 2020 • 1 year
507 Plum Street, Suite 120, NY
Sound Income Strategies LLC
2019 - Present • 7 years
Ft Lauderdale, FL
Pinnacle Investments, LLC
2019 - 2019 • 1 year
Mansfield, MA
Essex Securities
2016 - 2019 • 3 years
Mansfield, MA
Cetera Advisors LLC
2016 - 2016 • 1 year
Denver, CO
Investors Capital Corp.
1997 - 2016 • 19 years
Greenville, NC
North American Financial
1981 - Present • 45 years
Weirton, WV
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Series 63, Series 65
Weirton, WV
Steeloaks Investment Advisers, Inc.
Michael Payne is a financial advisor with Steeloaks Investment Advisers, Inc., holding Series 63 and Series 65 credentials and over 23 years of industry experience. He has been with Steeloaks Investment Advisers and Purshe Kaplan Sterling Investments since 2005. Steeloaks Investment Advisers provides discretionary investment management and consulting services to individuals, trusts, pension plans, endowments, foundations, public funds, and municipalities. The firm uses quantitative, technical, and passive investment strategies, focusing on diversified portfolios constructed primarily with exchange-traded funds and annual rebalancing.
Series 63
Weirton, WV
Steeloaks Investment Advisers, Inc.
Donald Kendrick is a financial advisor at Steeloaks Investment Advisers, Inc. in Weirton, WV, holding a Series 63 designation with 29 years of industry experience. He has been with Steeloaks since 1997. Steeloaks Investment Advisers provides discretionary investment management and consulting services to a range of clients including individuals, trusts, pension plans, endowments, public funds, and municipalities. The firm employs quantitative, technical, and passive investment strategies, focusing on diversified portfolios primarily constructed with exchange-traded funds and monitored through firm-specific historical research.
Weirton, WV
Steeloaks Investment Advisers, Inc.
Dewey Guida is a financial advisor at SteelOaks Investment Advisers, Inc. with 26 years of industry experience. The firm provides discretionary investment management and consulting services to a range of clients including individuals, trusts, pension plans, endowments, and municipalities. SteelOaks emphasizes quantitative, technical, and passive investment strategies, primarily using diversified portfolios of exchange-traded funds rebalanced annually. The firm’s approach includes model portfolios based on historical research and serves both discretionary and non-discretionary accounts.
Series 66
Weirton, WV
Steeloaks Investment Advisers, Inc.
Sara Payne is a Series 66 licensed financial advisor with Steeloaks Investment Advisers, Inc., where she has worked since 1997. She has 27 years of industry experience. Steeloaks Investment Advisers provides discretionary investment management and consulting services to individuals, trusts, pension plans, endowments, public funds, and municipalities. The firm uses quantitative, technical, and passive investment strategies, primarily employing diversified portfolios with exchange-traded funds, and offers several model portfolios including equity allocations and balanced fixed-income strategies.
Series 66
Wintersville, OH
Kingsview Wealth Management, LLC
Paul Sweeney II is a financial advisor at Kingsview Wealth Management, LLC with 12 years of industry experience. He previously worked at Edward Jones for 11 years and serves in the Ohio Army National Guard. Outside of financial advising, he owns and operates real estate rental properties. Kingsview Wealth Management serves a diverse client base including individuals, retirement plans, trusts, and corporate entities, providing wealth management, financial planning, and asset management services through a network of advisers and an internal portfolio management group.
Series 63, Series 65
Weirton, WV
Sound Income Strategies, LLC
Rick Prosser is a financial advisor with Sound Income Strategies, LLC, holding Series 63 and Series 65 licenses and bringing nine years of industry experience. His prior roles include positions at Cetera Advisors LLC, Investors Capital Corporation, and North American Financial, where he also works as an insurance agent selling life and annuities. Sound Income Strategies, LLC manages approximately $4.0 billion in client assets and serves a diverse client base including individuals, pension plans, trusts, estates, and corporations. The firm emphasizes fixed-income analysis combined with equity review and offers a range of services including discretionary asset management, financial planning, ERISA plan services, and insurance planning through affiliated channels.
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