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VERIFIEDCrystal Lake Tax & Financial Inc
265 Exchange Drive
Suite 101
Crystal Lake, IL 60014
815-526-3092
Sound Investment Strategies Based on Fact not Hope
About Crystal Lake Tax & Financial Inc
At Crystal Lake Tax & Financial, we specialize in teaching clients how the world of income-
generating investments and strategies can be used to help those in and nearing retirement to
conservatively achieve their long-term financial goals and avoid common retirement planning
mistakes.
Protecting your principal from market losses and generating income and dividends will grow your
money organically, or as we like to say "the old fashioned way." We rely on real world proven
strategies rather than just hope like so many other brokers.
Our number one mission is client education. We want to work with you to ensure that you make
informed, educated decisions that will best suit your current needs and enable you to achieve
your long term goals. We believe piece of mind comes from understanding your options and from
working with your advisor to choose the options that work best for you and your family.
Services offered; Financial Planning, Retirement Income Planning, Estate Planning, Income Tax
Preparation and Investment Management.
See Disclosures
General Information
Firm Start Year
2008
No. of Employees
10-19
CRD#
4243807
Firm CRD#
173272
Insurance License#
3823485
Name of Broker/Dealer
Sound Income Strategies, LLC
Name of Custodial Firm
Charles Schwab & Fidelity
States Licensed in
IL, FL, WI
Years of Experience in Financial Services
26
Number of Years with Current Firm
17
Work with the following types of clients
Businesses, Individual Investors
Services
Investment Types
Bonds, Stocks, Annuities, Insurance, Commodities, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)
Can meet clients in the following ways
Phone, Our Office, Video Conference
Compliance
Registered Investment Advisor
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
Have a clean record
Criminal Disclosures in Last 5 years
Have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CFP®, RFC®
Securities Licenses
Series 65
Insurance and Annuity Licenses
Annuity, Long Term Care, Life, Health
Financial Organization Memberships
Financial Planning Association (FPA), National Association of Personal Financial Advisors (NAPFA), American Institute of Certified Public Accountants (AICPA)
Firm Information
Firm's Number of Clients
1000+
Firm's Number of Planning Clients
300
Firm's Number of Managed Clients
1000+
Assets Managed by Firm
3,300,000,000
Advisor's Number of Clients
400
Advisor's Number of Managed Clients
400
Advisor's Number of Planning Clients
300
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$50,000
Compensation Methods
Based on Assets, Flat Fee
Fee % Based on Assets
1
Hourly Rate
$300
Education
Bachelors - Political Science / International Law
Creighton University
- 1993
Masters Business Administration (MBA) - Finance
American University
- 2006
Economic Development - Economic Development
Oklahoma University
-November 2017
Disclosures
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Additional Detailed Disclosures
https://www.retirementplanning.net/disclosure/1883013/retirementplanning-Crystal-Lake-Tax-&-Financial-Inc-detailed-disclosure.html