Mary J. Unland
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.
Mary Jo Unland, who also goes by Mary Jo Kuschel Vandam, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1982. Mary had worked at 5 firms and has passed the Series 65, Series 63, SIE, 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
September 7, 2005 - June 29, 2018
SORRENTO PACIFIC FINANCIAL, LLC
September 7, 2005 - June 29, 2018
SORRENTO PACIFIC FINANCIAL, LLC
February 25, 1998 - September 9, 2005
LPL FINANCIAL LLC
July 23, 1992 - September 9, 2005
LPL FINANCIAL LLC
September 8, 1989 - July 2, 1992
FIRST AFFILIATED SECURITIES
December 9, 1986 - September 18, 1989
LPL FINANCIAL LLC
February 29, 1984 - February 7, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 1982 - October 31, 1983
UBS FINANCIAL SERVICES 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.
