Valorie A. Seyfert
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.
Valorie Anne Seyfert, who also goes by Valorie Seyfert Obrien, Valorie Obrien, Valorie Ann Seyfert, was a registered financial professional .
Valorie is a previously registered financial professional and started their career in finance in 1984. Valorie had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27, 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
December 14, 2004 - February 24, 2023
SORRENTO PACIFIC FINANCIAL, LLC
October 10, 2003 - February 24, 2023
SORRENTO PACIFIC FINANCIAL, LLC
May 12, 1999 - February 12, 2002
COINBASE CAPITAL MARKETS CORP
April 10, 1997 - February 24, 2023
CUSO FINANCIAL SERVICES, L.P.
March 25, 1997 - February 24, 2023
CUSO FINANCIAL SERVICES, L.P.
June 13, 1996 - December 9, 1996
EMMETT A LARKIN COMPANY, INC.
October 19, 1990 - July 29, 1994
U.S. SECURITIES CLEARING CORP.
May 31, 1989 - October 19, 1990
SIGNATURE EQUITIES CORPORATION
February 11, 1986 - October 30, 1987
WS GRIFFITH SECURITIES, INC.
August 21, 1984 - November 29, 1989
SENTRA SECURITIES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
