SORRENTO PACIFIC FINANCIAL, LLC of SAN DIEGO, CA is an SEC-registered investment adviser (CRD 127787). Regulatory assets under management: $222.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| Theodore Robert Horwith | CHIEF FINANCIAL OFFICER, FINOP | — |
| Kevin Lawrence Beard | MANAGER | — |
| Laura Nicole White | ADVISORY CHIEF COMPLIANCE OFFICER | — |
| Mary Kathryn Simonson | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| Amanda Candelmo Hawley | CORPORATE SECRETARY | — |
| Kevin Scott Mummau | PRESIDENT | — |
| Douglas John Ketterer | MANAGER | — |
| JALLANS LESLIE BERNARD | CHIEF COMPLIANCE OFFICER | — |
| BEATTIE AMELIA HARDWICK | CHIEF OPERATING OFFICER; COO; TRUSTEE | — |
| SEYFERT VALORIE ANNE | MANAGER; PRESIDENT; PRESIDENT, CLO, CFO, CEO (+1 more) | — |
| MUMMAU KEVIN SCOTT | PRESIDENT | — |
| SIMONSON MARY KATHRYN | CHIEF FINANCIAL OFFICER | — |
| DAHL RICHARD STEWART | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; ROSFP; MEMBER LLC | — |
| UNLAND MARY JO | MEMBER LLC | — |
| BEATTIE GEORGE TAYLOR | TRUSTEE | — |
| BERG LIZBETH DAWN | ROSFP | — |
| DILLOWAY KEITH EDWARD | ROSFP | — |
| KILROY DANIEL JOSEPH | FINOP | — |
| CANEDY ERIK JASON | CHIEF COMPLIANCE OFFICER | — |
| TRANG RICHARD | ROSFP | — |
| KETTERER DOUGLAS JOHN | MANAGER; SHAREHOLDER | — |
| BEARD KEVIN LAWRENCE | MANAGER; MEMBER | — |
| TAYLOR DONALD | CHIEF FINANCIAL OFFICER, FINOP | — |
| Horwith Theodore Robert | CHIEF FINANCIAL OFFICER, FINOP | — |
| WHITE LAURA NICOLE | ADVISORY CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") FOUND THAT AT TIMES DURING THE RELEVANT PERIOD, DEFINED AS 01/01/2014 THROUGH 03/31/2018, SORRENTO PACIFIC FINANCIAL, LLC ("SPF") PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LO… | Final | — |
| — | regulatory | — | — | — |
Showing 15 of 24 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| BRICK | NJ | 2 | 732-477-5697 |
| BAY CITY | MI | 2 | 989-667-7200 |
| VACHERIE | LA | 2 | 225-265-2265 |
| VENTURA | CA | 1 | 805-895-8606 |
| SANTA ROSA | CA | 1 | (707) 863-6760 |
| SAN RAFEAL | CA | 1 | 800-848-1088 |
| DEDHAM | MA | 1 | 781-329-6700 |
| WALPOLE | MA | 1 | 508-668-4600 |
| DEDHAM | MA | 1 | 781-320-1410 |
| DEDHAM | MA | 1 | 781-320-1412 |
| NEEDHAM | MA | 1 | 781-449-0002 |
| NORWOOD | MA | 1 | (781) 762-8500 |
| SHARON | MA | 1 | 781-793-9360 |
| WESTWOOD | MA | 1 | 781-320-1416 |
| SOUTH BOSTON | MA | 1 | 781-320-4805 |