Joel Petersen has been Chief Compliance Officer of Sound Legacy Wealth Advisors since January 2020, is a control person of the firm and directly owns between 10% and 25% of it. Joel Petersen holds a Bachelor of Arts in Business Administration (Finance Concentration) from Western Washington University.
Sound Legacy Wealth Advisors, LLC is a firm with $102M under management, 44 clients and 2 advisers across 2 offices, as of its April 2026 filing.
Joel Petersen is Managing Partner of Sound Legacy Wealth Advisors, based in Bellevue, Washington. For over sixteen years he has worked in a wealth planning and advisory capacity with high and ultra-high net worth individuals and families, along with foundations, non-profits and endowments, first at Bernstein Global Wealth Management, then at Bank of America Private Bank (formerly U.S. Trust), and now as the leader of Sound Legacy. Before financial services he spent over twenty years advising on strategic, marketing and operational efforts for companies.
Joel Petersen’s longest registration was 8 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2011–2020). Before joining Sound Legacy Wealth Advisors in 2020, Joel Petersen was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Alliancebernstein L.P.
- – present · 6 yearsKirkland, WA · Adviser representative · Firm CRD 306332
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 8 yearsSeattle, WA · Adviser representative · Firm CRD 7691
- Alliancebernstein L.P.– · 4 yearsNew York, NY · Adviser representative · Firm CRD 108477
Investment adviser representative registrations
Joel Petersen is registered as an investment adviser representative in 2 states. The first approvals date from January 2020; the most recent is Texas, in March 2021.
- TexasSince 18 March 2021
- WashingtonSince 2 January 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 30 January 2006 |
| Series 7 | General Securities Representative Examination | 18 January 2006 |
| Series 31 | Futures Managed Funds Examination | 23 December 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Futures Managed Funds Examination
- Full name
- Joel Stuart Petersen
- CRD
- 5036886
- Firm
- Sound Legacy Wealth Advisors · CRD 306332
- Role
- Chief Compliance Officer
- Office
- Kirkland, WA
- Registration
- Investment adviser registration
- In the industry since
- April 2006
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- soundlegacy.com
Where does Joel Petersen work?
Joel Petersen has been Chief Compliance Officer of Sound Legacy Wealth Advisors, LLC since January 2020, and is a control person of the firm.
Is Joel Petersen a financial advisor?
Yes. Joel Petersen has a current investment-adviser registration in Texas and Washington, through Sound Legacy Wealth Advisors since January 2020.
How many years of experience does Joel Petersen have?
Joel Petersen has 20 years in the financial industry, since April 2006, across 3 adviser firms.
What exams has Joel Petersen passed?
Joel Petersen has passed 3 licensing exams: the Series 31, Series 7 and Series 66. The earliest, the Series 31, was passed in December 2005. FINRA credited Joel Petersen with the SIE, which began in October 2018.
Where did Joel Petersen work before Sound Legacy Wealth Advisors?
Before Sound Legacy Wealth Advisors, Joel Petersen was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, March 2011 to January 2020; Alliancebernstein L.P., February 2006 to December 2010.
Where is Joel Petersen based?
Joel Petersen’s registered office is in Kirkland, WA.
Is Joel Petersen registered with FINRA?
No. Joel Petersen has no current broker registration.
How can I verify Joel Petersen’s record?
Search CRD 5036886 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joel Petersen’s full registration record.
