SORRENTO PACIFIC FINANCIAL, LLC · SORRENTO PACIFIC FINANCIAL, LLC CRD# 127787 SEC# 8-66046 Main...

BrokerCheck Report

SORRENTO PACIFIC FINANCIAL, LLC

Section Title

Report Summary

Firm History

CRD# 127787

1

12

Firm Profile 2 - 11

Page(s)

Firm Operations 13 - 20

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SORRENTO PACIFIC FINANCIAL,LLC

CRD# 127787

SEC# 8-66046

Main Office Location

10150 MEANLEY DRIVE, 1ST FLOORSAN DIEGO, CA 92131Regulated by FINRA Los Angeles Office

Mailing Address

10150 MEANLEY DRIVE, 1ST FLOORSAN DIEGO, CA 92131

This firm is a brokerage firm and an investmentadviser firm. For more information aboutinvestment adviser firms, visit the SEC'sInvestment Adviser Public Disclosure website at:

Business Telephone Number

858-805-7900

https://www.adviserinfo.sec.gov

Report Summary for this Firm

This report summary provides an overview of the brokerage firm. Additional information for this firm can be foundin the detailed report.

Disclosure Events

Brokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and financial matters in which the firm orone of its control affiliates has been involved.

Are there events disclosed about this firm? No

Firm Profile

This firm is classified as a limited liability company.

This firm was formed in California on 02/05/2003.

Its fiscal year ends in December.

Firm History

Information relating to the brokerage firm's historysuch as other business names and successions(e.g., mergers, acquisitions) can be found in thedetailed report.

Firm Operations

Is this brokerage firm currently suspended with anyregulator? No

This firm conducts 11 types of businesses.

This firm is affiliated with financial or investmentinstitutions.

This firm has referral or financial arrangements withother brokers or dealers.

This firm is registered with:

• the SEC• 1 Self-Regulatory Organization• 51 U.S. states and territories

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1©2019 FINRA. All rights reserved. Report about SORRENTO PACIFIC FINANCIAL, LLC

https://adviserinfo.sec.gov/IAPD/IAPDSummaryRouter.aspx?IndividualID=-1&FirmID=127787&Source=Report


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This firm is classified as a limited liability company.

This firm was formed in California on 02/05/2003.

CRD#

This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name isused.

Firm Profile

Firm Names and Locations

Its fiscal year ends in December.

SORRENTO PACIFIC FINANCIAL, LLC

SEC#

127787

8-66046

Main Office Location

Mailing Address

Business Telephone Number

Doing business as SORRENTO PACIFIC FINANCIAL, LLC

858-805-7900

Regulated by FINRA Los Angeles Office








This section provides information relating to all direct owners and executive officers of the brokerage firm.

Direct Owners and Executive Officers

Firm Profile

Position

Percentage of Ownership

Is this a public reportingcompany?

Position Start Date

Does this owner direct themanagement or policies ofthe firm?

AWS 3, INC

SOLE OWNER

75% or more

No

Domestic Entity

11/2017

Yes

Is this a domestic or foreignentity or an individual?

Legal Name & CRD# (if any):

Position



Position Start Date


BEATTIE, AMELIA HARDWICK

COO

Less than 5%

No

Individual

03/2003

Yes

712411



Position


Position Start Date

DAHL, RICHARD STEWART

CHIEF COMPLIANCE OFFICER; ROSFP

Less than 5%

Individual

06/2005

1080878








Direct Owners and Executive Officers (continued)

Firm Profile




Less than 5%

No

Yes

Position



Position Start Date


KILROY, DANIEL JOSEPH

FINOP

Less than 5%

No

Individual

11/2010

No

2022798



Position



Position Start Date


SEYFERT, VALORIE ANNE

PRESIDENT, CLO, CFO, CEO

Less than 5%

No

Individual

03/2003

Yes

1275676



TRANG, RICHARD

3198637







Direct Owners and Executive Officers (continued)

Firm Profile

Position



Position Start Date


ROSFP

Less than 5%

No

Individual

03/2016

No

3198637







This section provides information relating to any indirect owners of the brokerage firm.

Indirect Owners

Firm Profile

ATRIA WEALTH SOLUTIONS HOLDINGS, LLC

HOLDING COMPANY

ATRIA WEALTH SOLUTIONS, INC.

75% or more

No

Domestic Entity

11/2017

Yes



Company through whichindirect ownership isestablished

Relationship to Direct Owner

Relationship Established




ATRIA WEALTH SOLUTIONS, INC

HOLDING COMPANY

AWS 3, INC

75% or more

No

Domestic Entity

10/2018

Yes









LEE EQUITY PARTNERS FUND II(A), L.P.

LEP ATRIA HOLDINGS, LLC

Domestic Entity









Indirect Owners (continued)

Firm Profile

MEMBER


25% but less than 50%

No

11/2017

Yes








HOLDING COMPANY


25% but less than 50%

No

Domestic Entity

11/2017

Yes









BBB FAMILY TRUST

SHAREHOLDER

TRIPLE BLACK DIAMOND, LLC

Other General Partners

Domestic Entity

11/2017






Percentage of Ownership7©2019 FINRA. All rights reserved. Report about SORRENTO PACIFIC FINANCIAL, LLC






Firm Profile


No

No




BEARD, KEVIN LAWRENCE

MEMBER



No

Individual

11/2017

Yes

2789109









BEATTIE, AMELIA HARDWICK

TRUSTEE

BBB FAMILY TRUST


Individual

02/2003

Yes

712411














Firm Profile

No



BEATTIE, GEORGE TAYLOR

TRUSTEE

BBB FAMILY TRUST


No

Individual

02/2003

Yes

5023745









CJT FAMILY TRUST

SHAREHOLDER



No

Domestic Entity

11/2017

No















Firm Profile

KETTERER, DOUGLAS JOHN

SHAREHOLDER



No

Individual

11/2017

Yes

2050418









SEYFERT, VALORIE ANNE

TRUSTEE

CJT FAMILY TRUST


No

Individual

02/2003

Yes

1275676










Domestic Entity









Firm Profile

SHAREHOLDER



No

Domestic Entity

11/2017

No













Firm History

This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.

No information reported.






Firm Operations

RegistrationsThis section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatoryorganizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered andlicensed, the date the license became effective, and certain information about the firm's SEC registration.

This firm is currently registered with the SEC, 1 SRO and 51 U.S. states and territories.

SEC Registration Questions

This firm is registered with the SEC as:

A broker-dealer:

A broker-dealer and government securities broker or dealer:

A government securities broker or dealer only:

This firm has ceased activity as a government securities broker or dealer:

Yes

Yes

No

No

Federal Regulator Status Date Effective

SEC Approved 10/10/2003

Self-Regulatory Organization Status Date Effective

FINRA Approved 10/10/2003






Firm Operations

Registrations (continued)

U.S. States &Territories

Status Date Effective

Alabama Approved 07/12/2005

Alaska Approved 07/08/2005

Arizona Approved 09/22/2005

Arkansas Approved 07/06/2005

California Approved 10/14/2003

Colorado Approved 06/17/2005

Connecticut Approved 09/26/2005

Delaware Approved 09/29/2005

District of Columbia Approved 08/12/2005

Florida Approved 07/12/2005

Georgia Approved 06/24/2005

Hawaii Approved 09/29/2005

Idaho Approved 06/16/2005

Illinois Approved 09/16/2005

Indiana Approved 09/15/2005

Iowa Approved 07/19/2005

Kansas Approved 09/30/2005

Kentucky Approved 06/21/2005

Louisiana Approved 07/07/2005

Maine Approved 07/20/2005

Maryland Approved 06/28/2005

Massachusetts Approved 06/30/2005

Michigan Approved 06/30/2005

Minnesota Approved 06/21/2005

Mississippi Approved 06/15/2005

Missouri Approved 09/07/2005

Montana Approved 06/14/2005

Nebraska Approved 09/22/2005

Nevada Approved 10/05/2004

New Hampshire Approved 09/28/2005

New Jersey Approved 09/14/2005

New Mexico Approved 06/29/2005

New York Approved 09/09/2005

U.S. States &Territories

Status Date Effective

North Carolina Approved 06/17/2005

North Dakota Approved 06/30/2005

Ohio Approved 07/14/2005

Oklahoma Approved 06/16/2005

Oregon Approved 05/10/2005

Pennsylvania Approved 09/07/2005

Rhode Island Approved 09/13/2005

South Carolina Approved 07/27/2005

South Dakota Approved 06/17/2005

Tennessee Approved 09/29/2005

Texas Approved 09/13/2005

Utah Approved 06/15/2005

Vermont Approved 10/12/2005

Virginia Approved 06/15/2005

Washington Approved 10/01/2004

West Virginia Approved 06/14/2005

Wisconsin Approved 07/07/2005

Wyoming Approved 07/26/2005






Firm Operations

Types of BusinessThis section provides the types of business, including non-securities business, the brokerage firm is engaged in orexpects to be engaged in.

This firm currently conducts 11 types of businesses.

Types of Business

Broker or dealer retailing corporate equity securities over-the-counter

Broker or dealer selling corporate debt securities

Mutual fund retailer

U S. government securities broker

Municipal securities broker

Broker or dealer selling variable life insurance or annuities

Put and call broker or dealer or option writer

Investment advisory services

Broker or dealer selling tax shelters or limited partnerships in primary distributions

Non-exchange member arranging for transactions in listed securities by exchange member

Broker or dealer involved in a networking, kiosk or similar arrangment with a: bank, savings bank or association, orcredit union






Firm Operations

Clearing Arrangements

This firm does not hold or maintain funds or securities or provide clearing services for other broker-dealer(s).

Introducing Arrangements

This firm does refer or introduce customers to other brokers and dealers.

Name: QUASAR DISTRIBUTORS, LLC

Business Address: 777 EAST WISCONSIN AVENUEMILWAUKEE, WI 53202

CRD #: 103848

Effective Date: 01/03/2017

Description: ENTERED INTO FULLY DISCLOSED MUTUAL FUND CLEARINGARRANGEMENT WITH QUASAR DISTRIBUTORS, LLC.

Name: PERSHING LLC

Business Address: 1 PERSHING PLAZAJERSEY CITY, NJ 07399

CRD #: 7560


Description: FULLY DISCLOSED CLEARING ARRANGEMENT WITH PERSHING, LLC.






Firm Operations

Industry Arrangements

This firm does have books or records maintained by a third party.

This firm does have accounts, funds, or securities maintained by a third party.

This firm does have customer accounts, funds, or securities maintained by a third party.



CRD #: 103848



Name: PERSHING LLC


CRD #: 7560





CRD #: 103848



Name: PERSHING LLC


CRD #: 7560








Firm Operations

Industry Arrangements (continued)

This firm does not have individuals who control its management or policies through agreement.

This firm does not have individuals who wholly or partly finance the firm's business.

Control Persons/Financing



CRD #: 103848



Name: PERSHING LLC


CRD #: 7560








Firm Operations

Organization AffiliatesThis section provides information on control relationships the firm has with other firms in the securities, investmentadvisory, or banking business.

This firm is, directly or indirectly:

· in control of· controlled by· or under common control withthe following partnerships, corporations, or other organizations engaged in the securities or investmentadvisory business.

Yes

Yes

No

10/03/2018

ONE LINCOLN CENTER110 W. FAYETTE STREET 5TH FLOORSYRACUSE, NY 13202

10641

CADARET, GRANT & CO., INC. is under common control with the firm.

ATRIA WEALTH SOLUTIONS, INC PARENT COMPANY OF AWS 3, INC ALSOOWNS 100% AWS 4, INC WITH OWNS 100% OF CADARET, GRANT & CO, INC

Description:

Investment AdvisoryActivities:

Securities Activities:

Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

Yes

Yes

No

10/01/2003


42132

CUSO FINANCIAL SERVICES, L.P. is under common control with the firm.

DUALLY REGISTERED OFFICERS EXERCISE EXECUTIVE RESPONSIBILITIESWITH POWER TO DIRECT OR CAUSE THE DIRECTION OF THEMANAGEMENT OR POLICIES OF BOTH BROKER/DEALERS.

Description:

Investment AdvisoryActivities:

Securities Activities:

Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:






Firm Operations

Organization Affiliates (continued)DUALLY REGISTERED OFFICERS EXERCISE EXECUTIVE RESPONSIBILITIESWITH POWER TO DIRECT OR CAUSE THE DIRECTION OF THEMANAGEMENT OR POLICIES OF BOTH BROKER/DEALERS.

Description:

This firm is not directly or indirectly, controlled by the following:

· bank holding company· national bank· state member bank of the Federal Reserve System· state non-member bank· savings bank or association· credit union· or foreign bank






End of Report

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