Chief Compliance Officer

0001104659-20-001405.txt : 20200106 0001104659-20-001405.hdr.sgml : 20200106 20200106131801 ACCESSION NUMBER: 0001104659-20-001405 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200106 DATE AS OF CHANGE: 20200106 EFFECTIVENESS DATE: 20200106 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sound Income Strategies, LLC CENTRAL INDEX KEY: 0001730960 IRS NUMBER: 471933889 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18555 FILM NUMBER: 20508879 BUSINESS ADDRESS: STREET 1: 6550 N FEDERAL HIGHWAY STREET 2: SUITE 510 CITY: FT LAUDERDALE STATE: FL ZIP: 33308 BUSINESS PHONE: 954-487-1860 MAIL ADDRESS: STREET 1: 6550 N FEDERAL HIGHWAY STREET 2: SUITE 510 CITY: FT LAUDERDALE STATE: FL ZIP: 33308 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001730960 XXXXXXXX 12-31-2019 12-31-2019 false Sound Income Strategies, LLC

6550 N Federal Highway Suite 510 Ft Lauderdale FL 33308

13F HOLDINGS REPORT 028-18555 N Charles Radlauer Chief Compliance Officer 954-487-1860 /s/ Charles Radlauer Ft Lauderdale FL 01-06-2020 0 507 217637 INFORMATION TABLE 2 infotable.xml SCHWAB STRATEGIC TR US REIT ETF 808524847 1 11 SH SOLE 0 0 11 CHEMOURS CO COM 163851108 6 336 SH SOLE 0 0 336 MICRON TECHNOLOGY INC COM 595112103 1 27 SH SOLE 0 0 27 CENTURYLINK INC COM 156700106 2 157 SH SOLE 0 0 157 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 0 7 SH SOLE 0 0 7 PFIZER INC COM 717081103 2196 56049 SH SOLE 0 0 56049 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 0 1 SH SOLE 0 0 1 BECTON DICKINSON & CO COM 075887109 44 161 SH SOLE 0 0 161 GENWORTH FINL INC COM CL A 37247D106 1 220 SH SOLE 0 0 220 NUVERRA ENVIRONMENTAL SOLUTI COM PAR 67091K302 0 24 SH SOLE 0 0 24 SIERRA WIRELESS INC COM 826516106 0 7 SH SOLE 0 0 7 AIM IMMUNOTECH INC COM 00901B105 0 1 SH SOLE 0 0 1 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 2 34 SH SOLE 0 0 34 DANAHER CORPORATION COM 235851102 21 135 SH SOLE 0 0 135 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SHS G02602103 4 49 SH SOLE 0 0 49 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 2 143 SH SOLE 0 0 143 ALIGN TECHNOLOGY INC COM 016255101 1 3 SH SOLE 0 0 3 HOME DEPOT INC COM 437076102 133 607 SH SOLE 0 0 607 L3HARRIS TECHNOLOGIES INC COM 502431109 0 1 SH SOLE 0 0 1 FIRSTENERGY CORP COM 337932107 7 138 SH SOLE 0 0 138 VANGUARD INDEX FDS TOTAL STK MKT 922908769 37 226 SH SOLE 0 0 226 HANCOCK JOHN PFD INCOME FD I COM 41013X106 4 200 SH SOLE 0 0 200 NEUBERGER BERMAN MLP AND ENR COM 64129H104 0 49 SH SOLE 0 0 49 METLIFE INC COM 59156R108 1 24 SH SOLE 0 0 24 SMITH A O CORP COM 831865209 0 2 SH SOLE 0 0 2 MAIN STREET CAPITAL CORP COM 56035L104 30367 704403 SH SOLE 0 0 704403 ISHARES TR IBOXX HI YD ETF 464288513 52 586 SH SOLE 0 0 586 WASTE MGMT INC DEL COM 94106L109 4 39 SH SOLE 0 0 39 ISHARES TR S&P 500 GRWT ETF 464287309 20 104 SH SOLE 0 0 104 CARDINAL HEALTH INC COM 14149Y108 16 309 SH SOLE 0 0 309 ISHARES TR INTRM TR CRP ETF 464288638 33 563 SH SOLE 0 0 563 VERIZON COMMUNICATIONS INC COM 92343V104 340 5531 SH SOLE 0 0 5531 NETFLIX INC COM 64110L106 336 1039 SH SOLE 0 0 1039 XENIA HOTELS & RESORTS INC COM 984017103 11 493 SH SOLE 0 0 493 MASTEC INC COM 576323109 0 5 SH SOLE 0 0 5 ISHARES INC MIN VOL EMRG MKT 464286533 6 94 SH SOLE 0 0 94 NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 1 8 SH SOLE 0 0 8 AMGEN INC COM 031162100 57 236 SH SOLE 0 0 236 VANGUARD WORLD FD MEGA GRWTH IND 921910816 59 403 SH SOLE 0 0 403 VIRNETX HLDG CORP COM 92823T108 31 8100 SH SOLE 0 0 8100 COCA COLA CO COM 191216100 98 1763 SH SOLE 0 0 1763 LOCKHEED MARTIN CORP COM 539830109 1976 5075 SH SOLE 0 0 5075 SOUTHERN CO COM 842587107 131 2055 SH SOLE 0 0 2055 INVESCO QQQ TR UNIT SER 1 46090E103 486 2287 SH SOLE 0 0 2287 ISHARES TR S&P MC 400GR ETF 464287606 52 217 SH SOLE 0 0 217 WELLS FARGO CO NEW COM 949746101 30 561 SH SOLE 0 0 561 SCHWAB STRATEGIC TR US TIPS ETF 808524870 0 2 SH SOLE 0 0 2 FIDELITY NATL INFORMATION SV COM 31620M106 1 10 SH SOLE 0 0 10 INTERNATIONAL BUSINESS MACHS COM 459200101 183 1365 SH SOLE 0 0 1365 ECOLAB INC COM 278865100 9 49 SH SOLE 0 0 49 ARROWHEAD PHARMACEUTICALS IN COM 04280A100 43 680 SH SOLE 0 0 680 NOKIA CORP SPONSORED ADR 654902204 1 300 SH SOLE 0 0 300 ALTERYX INC COM CL A 02156B103 3 31 SH SOLE 0 0 31 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 6 94 SH SOLE 0 0 94 CANADIAN NATL RY CO COM 136375102 8 85 SH SOLE 0 0 85 ABERDEEN STD SILVER ETF TR PHYSCL SILVR SHS 003264108 0 18 SH SOLE 0 0 18 VENTAS INC COM 92276F100 144 2498 SH SOLE 0 0 2498 AMERICAN ELEC PWR CO INC COM 025537101 51 540 SH SOLE 0 0 540 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 13 191 SH SOLE 0 0 191 REPUBLIC SVCS INC COM 760759100 1 12 SH SOLE 0 0 12 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 25 84 SH SOLE 0 0 84 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 20 310 SH SOLE 0 0 310 TESLA INC COM 88160R101 10 25 SH SOLE 0 0 25 CAPITAL ONE FINL CORP COM 14040H105 10 94 SH SOLE 0 0 94 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 2 150 SH SOLE 0 0 150 BLACKROCK TCP CAP CORP COM 09259E108 294 20935 SH SOLE 0 0 20935 ISHARES TR CORE MSCI EAFE 46432F842 7 112 SH SOLE 0 0 112 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 5 100 SH SOLE 0 0 100 BRISTOL MYERS SQUIBB CO COM 110122108 7 105 SH SOLE 0 0 105 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1 43 SH SOLE 0 0 43 NVIDIA CORP COM 67066G104 24 104 SH SOLE 0 0 104 DEVON ENERGY CORP NEW COM 25179M103 2 65 SH SOLE 0 0 65 RETAIL VALUE INC COM 76133Q102 0 7 SH SOLE 0 0 7 UGI CORP NEW COM 902681105 2 36 SH SOLE 0 0 36 ISHARES US ETF TR SHT MAT BD ETF 46431W507 3 57 SH SOLE 0 0 57 MERCK & CO INC COM 58933Y105 349 3839 SH SOLE 0 0 3839 SPDR SERIES TRUST AEROSPACE DEF 78464A631 9 80 SH SOLE 0 0 80 ISHARES TR RUS MID CAP ETF 464287499 4 60 SH SOLE 0 0 60 RETAIL PPTYS AMER INC CL A 76131V202 14 1063 SH SOLE 0 0 1063 COLONY CAP INC NEW CL A COM 19626G108 2 442 SH SOLE 0 0 442 MAXAR TECHNOLOGIES INC COM 57778K105 0 12 SH SOLE 0 0 12 VALE S A SPONSORED ADS 91912E105 1 109 SH SOLE 0 0 109 BLACK HILLS CORP COM 092113109 0 1 SH SOLE 0 0 1 STARBUCKS CORP COM 855244109 30 343 SH SOLE 0 0 343 VANGUARD WORLD FDS INF TECH ETF 92204A702 6 25 SH SOLE 0 0 25 GRAND CANYON ED INC COM 38526M106 0 3 SH SOLE 0 0 3 ISHARES TR RUS 1000 GRW ETF 464287614 12 67 SH SOLE 0 0 67 PROSHARES TR PSHS ULTRA QQQ 74347R206 15 121 SH SOLE 0 0 121 ADVANCED ENERGY INDS COM 007973100 0 3 SH SOLE 0 0 3 MONSTER BEVERAGE CORP NEW COM 61174X109 0 4 SH SOLE 0 0 4 AMERICAN WTR WKS CO INC NEW COM 030420103 12 97 SH SOLE 0 0 97 CANOPY GROWTH CORP COM 138035100 17 812 SH SOLE 0 0 812 KEMPHARM INC COM 488445107 4 10000 SH SOLE 0 0 10000 VANGUARD GROUP DIV APP ETF 921908844 19 153 SH SOLE 0 0 153 UBS GROUP AG SHS H42097107 12 963 SH SOLE 0 0 963 CONSOLIDATED EDISON INC COM 209115104 79 873 SH SOLE 0 0 873 PAYCOM SOFTWARE INC COM 70432V102 1 4 SH SOLE 0 0 4 WESTERN DIGITAL CORP COM 958102105 2163 34079 SH SOLE 0 0 34079 KAYNE ANDERSON MDSTM ENERGY COM 48661E108 1 72 SH SOLE 0 0 72 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 111 3783 SH SOLE 0 0 3783 WESTAMERICA BANCORPORATION COM 957090103 1 8 SH SOLE 0 0 8 ALLERGAN PLC SHS G0177J108 16 82 SH SOLE 0 0 82 FIRST TR NASDAQ ABA CMNTY BK UT COM SHS ETF 33736Q104 1 20 SH SOLE 0 0 20 ISHARES TR MIN VOL EAFE ETF 46429B689 5 69 SH SOLE 0 0 69 ENBRIDGE INC COM 29250N105 2207 55483 SH SOLE 0 0 55483 FASTENAL CO COM 311900104 1 30 SH SOLE 0 0 30 EATON VANCE CORP COM NON VTG 278265103 6 133 SH SOLE 0 0 133 ALPHABET INC CAP STK CL A 02079K305 242 181 SH SOLE 0 0 181 CIGNA CORP NEW COM 125523100 17 85 SH SOLE 0 0 85 WISDOMTREE TR EUROPE SMCP DV 97717W869 2 25 SH SOLE 0 0 25 MASTERCARD INC CL A 57636Q104 23 78 SH SOLE 0 0 78 ISHARES TR S&P MC 400VL ETF 464287705 9 51 SH SOLE 0 0 51 QUAD / GRAPHICS INC COM CL A 747301109 4 830 SH SOLE 0 0 830 STMICROELECTRONICS N V NY REGISTRY 861012102 32 1172 SH SOLE 0 0 1172 GREAT AJAX CORP COM 38983D300 2 161 SH SOLE 0 0 161 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 54 534 SH SOLE 0 0 534 GENERAL MTRS CO COM 37045V100 1843 50355 SH SOLE 0 0 50355 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 4 250 SH SOLE 0 0 250 POST HLDGS INC COM 737446104 11 101 SH SOLE 0 0 101 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 17 322 SH SOLE 0 0 322 FISERV INC COM 337738108 22 191 SH SOLE 0 0 191 MACYS INC COM 55616P104 0 12 SH SOLE 0 0 12 ANNALY CAP MGMT INC COM 035710409 20 2102 SH SOLE 0 0 2102 TRIPLEPOINT VENTURE GROWTH B COM 89677Y100 36 2538 SH SOLE 0 0 2538 ISHARES TR 20 YR TR BD ETF 464287432 1 4 SH SOLE 0 0 4 MICRO FOCUS INTERNATIONAL PL SPON ADR NEW 594837403 1 39 SH SOLE 0 0 39 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 6 100 SH SOLE 0 0 100 ISHARES TR RUS MD CP GR ETF 464287481 8 50 SH SOLE 0 0 50 HOST HOTELS & RESORTS INC COM 44107P104 2 100 SH SOLE 0 0 100 UNION PACIFIC CORP COM 907818108 8 42 SH SOLE 0 0 42 GARMIN LTD SHS H2906T109 5 55 SH SOLE 0 0 55 NUVEEN GLOBAL HIGH INCOME FD SHS 67075G103 7 451 SH SOLE 0 0 451 TOOTSIE ROLL INDS INC COM 890516107 0 7 SH SOLE 0 0 7 MSC INDL DIRECT INC CL A 553530106 1 9 SH SOLE 0 0 9 PITNEY BOWES INC COM 724479100 6 1501 SH SOLE 0 0 1501 ISHARES TR MSCI EAFE ETF 464287465 5 70 SH SOLE 0 0 70 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 20 333 SH SOLE 0 0 333 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 1 19 SH SOLE 0 0 19 KROGER CO COM 501044101 6 201 SH SOLE 0 0 201 BLACKROCK CAPITAL INVESTMENT COM 092533108 9 1750 SH SOLE 0 0 1750 DXC TECHNOLOGY CO COM 23355L106 1 19 SH SOLE 0 0 19 ALPHABET INC CAP STK CL C 02079K107 150 112 SH SOLE 0 0 112 DUPONT DE NEMOURS INC COM 26614N102 27 419 SH SOLE 0 0 419 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 8 184 SH SOLE 0 0 184 PTC INC COM 69370C100 2 21 SH SOLE 0 0 21 MEDICAL PPTYS TRUST INC COM 58463J304 4 191 SH SOLE 0 0 191 CORTEVA INC COM 22052L104 0 8 SH SOLE 0 0 8 CITIZENS CMNTY BANCORP INC M COM 174903104 27 2194 SH SOLE 0 0 2194 NUVEEN DOW 30 DYN OVERWRITE SHS 67075F105 11 609 SH SOLE 0 0 609 EMERSON ELEC CO COM 291011104 12 162 SH SOLE 0 0 162 AMEDISYS INC COM 023436108 10 60 SH SOLE 0 0 60 TUPPERWARE BRANDS CORP COM 899896104 0 8 SH SOLE 0 0 8 CITY HLDG CO COM 177835105 180 2193 SH SOLE 0 0 2193 PROLOGIS INC COM 74340W103 14 153 SH SOLE 0 0 153 CATERPILLAR INC DEL COM 149123101 45 308 SH SOLE 0 0 308 YRC WORLDWIDE INC COM PAR $.01 984249607 0 85 SH SOLE 0 0 85 W P CAREY INC COM 92936U109 29 369 SH SOLE 0 0 369 FLUSHING FINL CORP COM 343873105 13 600 SH SOLE 0 0 600 JP MORGAN EXCHANGE TRADED FD HIGH YLD RESRCH 46641Q878 53 1026 SH SOLE 0 0 1026 LAM RESEARCH CORP COM 512807108 5 18 SH SOLE 0 0 18 UNITED PARCEL SERVICE INC CL B 911312106 40 345 SH SOLE 0 0 345 RITE AID CORP COM 767754872 2 105 SH SOLE 0 0 105 ISHARES TR GLOBAL TECH ETF 464287291 18 85 SH SOLE 0 0 85 VANECK VECTORS ETF TRUST GOLD MINERS ETF 92189F106 0 13 SH SOLE 0 0 13 SEMPRA ENERGY COM 816851109 0 2 SH SOLE 0 0 2 FORD MTR CO DEL COM 345370860 53 5683 SH SOLE 0 0 5683 CONOCOPHILLIPS COM 20825C104 55 848 SH SOLE 0 0 848 CHEMED CORP NEW COM 16359R103 0 1 SH SOLE 0 0 1 CREDIT SUISSE NASSAU BRH LG CP GRTH ENH 22542D423 5 15 SH SOLE 0 0 15 NEXPOINT STRATEGIC OPORTUNT COM NEW 65340G205 4 252 SH SOLE 0 0 252 HP INC COM 40434L105 1967 95715 SH SOLE 0 0 95715 INNOVATOR ETFS TR S&P 500 BUFFER 45782C581 103 3852 SH SOLE 0 0 3852 FIRST MERCHANTS CORP COM 320817109 4 89 SH SOLE 0 0 89 MEDTRONIC PLC SHS G5960L103 26 233 SH SOLE 0 0 233 ASTRAZENECA PLC SPONSORED ADR 046353108 6 117 SH SOLE 0 0 117 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 12 143 SH SOLE 0 0 143 FRANKLIN STREET PPTYS CORP COM 35471R106 3 360 SH SOLE 0 0 360 FRANKLIN LTD DURATION INC TR COM 35472T101 56 5887 SH SOLE 0 0 5887 AFLAC INC COM 001055102 41 770 SH SOLE 0 0 770 INDUSTRIAL LOGISTICS PPTYS T COM SHS BEN INT 456237106 5 208 SH SOLE 0 0 208 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 1 25 SH SOLE 0 0 25 PROSHARES TR PSHS SHORT DOW30 74347B235 0 1 SH SOLE 0 0 1 INNOVATOR ETFS TR S&P 500 BUFFER E 45782C557 296 11010 SH SOLE 0 0 11010 VANECK VECTORS ETF TRUST JR GOLD MINERS E 92189F791 3 74 SH SOLE 0 0 74 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 0 12 SH SOLE 0 0 12 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 9 120 SH SOLE 0 0 120 ISHARES INC MSCI JPN ETF NEW 46434G822 2 39 SH SOLE 0 0 39 BANK AMER CORP COM 060505104 134 3793 SH SOLE 0 0 3793 TECK RESOURCES LTD CL B 878742204 1 37 SH SOLE 0 0 37 ISHARES TR GLOBAL 100 ETF 464287572 2 34 SH SOLE 0 0 34 PAYPAL HLDGS INC COM 70450Y103 52 477 SH SOLE 0 0 477 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 4 275 SH SOLE 0 0 275 ISHARES TR 0-5YR HI YL CP 46434V407 43054 927279 SH SOLE 0 0 927279 TIPTREE INC COM 88822Q103 15 1800 SH SOLE 0 0 1800 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 46 503 SH SOLE 0 0 503 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 11 181 SH SOLE 0 0 181 DOLLAR GEN CORP NEW COM 256677105 12 80 SH SOLE 0 0 80 SCOTTS MIRACLE GRO CO CL A 810186106 5 50 SH SOLE 0 0 50 ZIMMER BIOMET HLDGS INC COM 98956P102 47 316 SH SOLE 0 0 316 LULULEMON ATHLETICA INC COM 550021109 5 21 SH SOLE 0 0 21 HEXO CORP COM 428304109 1 500 SH SOLE 0 0 500 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 7 294 SH SOLE 0 0 294 ARISTA NETWORKS INC COM 040413106 1 5 SH SOLE 0 0 5 ISHARES TR MSCI EURO FL ETF 464289180 5 250 SH SOLE 0 0 250 INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 46137V563 17 881 SH SOLE 0 0 881 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 84 2116 SH SOLE 0 0 2116 ISHARES TR CORE MSCI EURO 46434V738 8 165 SH SOLE 0 0 165 PACER FDS TR TRENDPILOT INTL 69374H683 34 1271 SH SOLE 0 0 1271 TORO CO COM 891092108 0 3 SH SOLE 0 0 3 DELL TECHNOLOGIES INC CL C 24703L202 2 45 SH SOLE 0 0 45 FIFTH THIRD BANCORP COM 316773100 3 102 SH SOLE 0 0 102 SEAGATE TECHNOLOGY PLC SHS G7945M107 2366 39769 SH SOLE 0 0 39769 GARRETT MOTION INC COM 366505105 0 9 SH SOLE 0 0 9 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 3 121 SH SOLE 0 0 121 WYNDHAM DESTINATIONS INC COM 98310W108 16 306 SH SOLE 0 0 306 ZENDESK INC COM 98936J101 2 32 SH SOLE 0 0 32 UNITED STATES STL CORP NEW COM 912909108 5 441 SH SOLE 0 0 441 JOHNSON & JOHNSON COM 478160104 2321 15913 SH SOLE 0 0 15913 THERMO FISHER SCIENTIFIC INC COM 883556102 11 33 SH SOLE 0 0 33 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 0 7 SH SOLE 0 0 7 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 3 133 SH SOLE 0 0 133