Kevin S. Mummau
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.
Kevin Scott Mummau was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1983. Kevin had worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 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
October 24, 2019 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
April 30, 2002 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
April 30, 2002 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
July 25, 2001 - April 26, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 7, 1996 - December 31, 2000
SENTRA SECURITIES CORPORATION
October 7, 1996 - July 25, 2001
GIRARD SECURITIES, INC.
April 17, 1991 - December 31, 2000
SPELMAN & CO., INC.
June 1, 1988 - April 25, 1991
HIBBARD BROWN & CO., INC.
October 9, 1987 - June 4, 1988
F.N. WOLF & CO., INC.
January 31, 1983 - October 9, 1987
FIRST JERSEY SECURITIES, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 12/22/2000
Limited Representative-Equity Trader ExamCurrent 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.
