Gloria J. Wallace
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.
Gloria Jean Wallace, who also goes by Gloria Jean Daniels, Gloria Jean Dodd, Gloria Jean Savarese, was a registered financial professional .
Gloria is a previously registered financial professional and started their career in finance in 1984. Gloria had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 53, 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
April 25, 2016 - October 11, 2017
SORRENTO PACIFIC FINANCIAL, LLC
July 25, 2007 - October 11, 2017
CUSO FINANCIAL SERVICES, L.P.
June 15, 2005 - September 16, 2005
GIRARD SECURITIES, INC.
December 9, 2003 - October 4, 2004
CUNA BROKERAGE SERVICES, INC.
March 1, 2001 - November 18, 2003
WS GRIFFITH SECURITIES, INC.
August 4, 2000 - January 12, 2001
AVANZA CAPITAL MARKETS INC.
December 24, 1997 - June 12, 2000
LPL FINANCIAL LLC
August 9, 1995 - December 10, 1997
SENTRA SECURITIES CORPORATION
April 6, 1994 - October 10, 1995
I.C.R. FINANCIAL CENTER, INC.
July 2, 1993 - June 20, 1995
TRADEWINDS SECURITIES CORPORATION
August 15, 1989 - December 31, 1992
FIRST AFFILIATED SECURITIES
July 26, 1984 - September 7, 1989
LPL FINANCIAL LLC
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.
