Dale V. Sefarian

HOLLENCREST CAPITAL MANAGEMENT

Newport Beach, CA 92660-8903

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CRD#: 1288019

Professional summary

Dale Vaughn Sefarian is a registered financial advisor currently at HOLLENCREST CAPITAL MANAGEMENT, LLC located in Newport Beach, California.

Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Dale has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Vaughn Sefarian's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 20, 1999 - Present

HOLLENCREST CAPITAL MANAGEMENT, LLC

Office #1: 100 Bayview Circle Suite 500, Newport Beach, CA 92660-8903

RIA

CRD#: 46217

Newport Beach, CA

Past

March 30, 2004 - June 18, 2019

DOUBLE EAGLE PARTNERS

RIA

CRD#: 128563

NEWPORT BEACH, CA

Past

April 23, 1999 - January 2, 2018

HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217

NEWPORT BEACH, CA

Past

November 3, 1987 - April 30, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 27, 1984 - October 22, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HOLLENCREST CAPITAL MANAGEMENT, LLC

HOLLENCREST CAPITAL MANAGEMENT | HOLLENCREST SECURITIES, LLC | HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217 / SEC#: 801-55904, 8-51348

RIA

Registered Investment Advisory firm - SEC (10/2/1998 Approved)

Terminated by SEC on 01/14/2018

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/20/1999)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/1999

General Securities Principal Examination

Current Firm

HOLLENCREST CAPITAL MANAGEMENT, LLC

HOLLENCREST CAPITAL MANAGEMENT | HOLLENCREST SECURITIES, LLC | HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217 / SEC#: 801-55904, 8-51348

RIA

Registered Investment Advisory firm - SEC (10/2/1998 Approved)

Terminated by SEC on 01/14/2018

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Contact information

Main Address

100 Bayview Circle Suite 500, Newport Beach, CA 92660-8903

Mailing Address

Phone number

(949) 737-7700

Established

California since 06/10/1998

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOLLENCREST CAPITAL MANAGEMENT LLC - ADV PART 2A BROCHURE (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
PELLIZZON, GREGORY PAUL	MANAGING MEMBER	712667
PELLIZZON, PETER JOSEPH	CHIEF OPERATING OFFICER	1236771
PELLIZZON, PETER JOSEPH	CHIEF COMPLIANCE OFFICER	1236771
PELLIZZON, PETER JOSEPH	MANAGING PARTNER	1236771
PELLIZZON, PETER JOSEPH	ROSFP	1236771
WOLFORD, ROBERT BURR	MUNICIPAL SER. PRINCIPAL	1336627
WOLFORD, ROBERT BURR	FINOP	1336627
SCHULMAN, MICHAEL ASHLEY	MANAGING DIRECTOR	5044091
KONON, JAMES JR	ROSFP	2386644
KONON, JAMES JR	OPERATIONS MANAGER - AML OFFICER	2386644

Regulatory assets under management

Total Number of Accounts	1,296
AUM (Assets Under Management)	$ 2,667,216,370

Disclosures

Regulatory Event	2
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/20/2025	Cover Page	Report
10/21/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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.

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Dale V. Sefarian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Vaughn Sefarian's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOUBLE EAGLE PARTNERS

HOLLENCREST CAPITAL MANAGEMENT, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

HOLLENCREST CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/27/1984

SIE

Date: 1/2/2018

Series 7

Date: 7/21/1984

Series 24

Date: 12/1/1999

Current Firm

HOLLENCREST CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HOLLENCREST CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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