Dimitri J. Luleff
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.
Dimitri J Luleff, who also goes by Jim Luleff, was a registered financial professional .
Dimitri is a previously registered financial professional and started their career in finance in 1982. Dimitri had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 53 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
May 7, 2012 - November 4, 2015
SORRENTO PACIFIC FINANCIAL, LLC
May 7, 2012 - November 4, 2015
SORRENTO PACIFIC FINANCIAL, LLC
February 3, 2005 - November 4, 2015
CUSO FINANCIAL SERVICES, L.P.
February 2, 2005 - November 4, 2015
CUSO FINANCIAL SERVICES, L.P.
September 9, 2003 - February 10, 2005
SECURITIES AMERICA, INC.
April 13, 2000 - May 28, 2003
SPELMAN & CO., INC.
September 10, 1997 - September 23, 2003
SENTRA SECURITIES CORPORATION
September 21, 1989 - September 11, 1997
SPELMAN & CO., INC.
December 1, 1987 - July 17, 1989
MESA SECURITIES CORPORATION
November 27, 1985 - January 20, 1986
FIRST AFFILIATED SECURITIES, INC.
May 18, 1982 - November 29, 1983
MUTUAL SERVICE CORPORATION
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.
