Ronald E. Levacy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Eugene Levacy, who also goes by Ron Eugene Levacy, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1981. Ronald had worked at 13 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2009 - May 31, 2013
SORRENTO PACIFIC FINANCIAL, LLC
November 29, 2006 - December 31, 2016
PARTNERVEST ADVISORY SERVICES LLC
November 29, 2006 - July 31, 2009
PARTNERVEST SECURITIES, INC.
January 30, 1998 - November 29, 2006
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
December 23, 1997 - November 29, 2006
ASSOCIATED SECURITIES CORP.
October 24, 1994 - December 31, 1997
SUNAMERICA SECURITIES, INC.
July 11, 1987 - September 23, 1994
FIRST INTERSTATE INVESTMENTS,INC.
May 8, 1987 - August 10, 1987
VALUE EQUITIES CORPORATION
March 27, 1987 - May 28, 1987
CORNWALL, ABBOTT & GRAY, INC.
September 4, 1985 - March 4, 1987
MESA SECURITIES CORPORATION
May 17, 1985 - May 29, 1985
FIRST WALL STREET CORP.
March 28, 1984 - September 3, 1985
TITAN/VALUE EQUITIES GROUP, INC.
March 10, 1983 - March 21, 1984
SENTRA SECURITIES CORPORATION
December 24, 1981 - January 27, 1983
TITAN/VALUE EQUITIES GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
