Full text of SORRENTO PACIFIC FINANCIAL, LLC's X-17A-5 filed 2025-03-31 (period 2024-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > ANNUAL REPORTS FORM X-17A-5 PART III | OMB APPROVAL | | |---------------------------|--| | OMB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | | | | SEC FILE NUMBER 8-66046 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/2024 AND ENDING 12/31/2024 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: SORRENTO PACIFIC FINANCIAL LLC TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer | | Security-based swap dealer | | Major security-based swap participant Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 10150 MEANLEY DRIVE, 1ST FLOOR | (Name) | (Area Code - Telephone Number) | (Email Address) | | |----------------------------------------------|--------------------------------|----------------------------------|--| | Ted Horwith | (858) 882-6503 | Theodore.Horwith@atriawealth.com | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | (City) | (State) | (Zip Code) | | | San Diego | CA | 92131 | | | | (No. and Street) | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* # Citrin Cooperman | New York | NY | 10020 | |--------------------------------------------------|---------|-----------------------------------------------------------------------------------------------------------------------------------| | (City) | (State) | (Zip Code) | | | 2468 | | | (Date of Registration with PCAOB)(if applicable) | | | | | | | | | | (Name - if individual, state last, first, and middle name)<br>(PCAOB Registration Number, if applicable)<br>FOR OFFICIAL USE ONLY | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION | Ted Horwith | | | | swear (or affirm) that, to the best of my knowledge and belief, the…Read the full text as markdown