SC
Sally A. Corning
SUN MOUNTAIN CAPITAL ADVISORS
Santa Fe, NM 87505
Some features on this profile are disabled
CRD#: 1516418
SC
Professional summary
Sally Ann Corning is a registered financial advisor currently at SUN MOUNTAIN CAPITAL ADVISORS, LLC located in Santa Fe, New Mexico.
Sally is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Sally has worked at 2 firms and has passed the Series 65, 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.
1-SUN MOUNTAIN CAPITAL PARTNERS LLC, WHICH IS INVESTMENT RELATED, AND LOCATED AT 301 GRIFFIN STREET, SANTA FE, NM 87501,IS THE GENERAL PARTNER OF A POOLED INVESTMENT VEHICLE, OF WHICH I AM A MANAGING MEMBER, STARTING IN JANUARY, 2007, AND I DEVOTE HOURS AS NEEDED THROUGHOUT EACH DAY, PERFORMING THE DUTIES OF A MANAGING MEMBER. IN ADDITION, I AM A DIRECTOR OF NANOMR, INC., AND AN EXECUTIVE OFFICER OF THE BOARD OF DIRECTORS OF NANOMR, INC. WHICH IS A PORTFOLIO COMPANY IN THE POOLED INVESTMENT VEHICLE OF WHICH I AM A MEMBER OF THE GENERAL PARTNER.
2-SUN MOUNTAIN CAPITAL LLC,WHICH IS INVESTMENT RELATED, AND LOCATED AT 301 GRIFFIN STREET, SANTA FE, NM 87501,IS MANAGER OF A POOLED INVESTMENT VEHICLE, OF WHICH I AM A MANAGING MEMBER, STARTING IN SEPTEMBER, 2006, AND I DEVOTE HOURS AS NEEDED THROUGHOUT EACH DAY, PERFORMING THE DUTIES OF A MANAGING MEMBER.3-THORNBURG INVESTMENT TRUST, WHICH IS INVESTMENT RELATED, AND LOCATED AT 2300 N. RIDGETOP ROAD, SANTA FE, NM 87506, STARTING IN MAY 2012, DEVOTING HOURS AS NEEDED AS A TRUSTEE OF THORNBURG INVESTMENT TRUST.
CRS (Client Relationship Summary) - RIA
Click below to view Sally Ann Corning's 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®
NoneExperience
Current
June 13, 2011 - Present
SUN MOUNTAIN CAPITAL ADVISORS, LLC
Office #1: 527 Don Gaspar Avenue, Santa Fe, NM 87505RIA
CRD#: 151477
Santa Fe, NM
Past
October 20, 1987 - December 8, 2000
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
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".
SM
SUN MOUNTAIN CAPITAL ADVISORS, LLC
SUN MOUNTAIN CAPITAL | SUN MOUNTAIN PRIVATE CREDIT INVESTORS, LLC (RELYING ADVISER) | SUN MOUNTAIN KEGONSA, LLC (RELYING ADVISER) | SUN MOUNTAIN CAPITAL PARTNERS, L.L.C. (RELYING ADVISER) | SUN MOUNTAIN CAPITAL PARTNERS (MEXICO), L.P. (RELYING ADVISER) | SUN MOUNTAIN CAPITAL PARTNERS (MEXICO) GP, L.L.C. (RELYING ADVISER) | SUN MOUNTAIN CAPITAL LLC (RELYING ADVISER) | SUN MOUNTAIN CAPITAL ADVISORS, LLC
CRD#: 151477 / SEC#: 801-72312
RIA
Registered Investment Advisory firm - (5/25/2011 Approved)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
New Mexico(6/13/2011)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SM
SUN MOUNTAIN CAPITAL ADVISORS, LLC
SUN MOUNTAIN CAPITAL | SUN MOUNTAIN PRIVATE CREDIT INVESTORS, LLC (RELYING ADVISER) | SUN MOUNTAIN KEGONSA, LLC (RELYING ADVISER) | SUN MOUNTAIN CAPITAL PARTNERS, L.L.C. (RELYING ADVISER) | SUN MOUNTAIN CAPITAL PARTNERS (MEXICO), L.P. (RELYING ADVISER) | SUN MOUNTAIN CAPITAL PARTNERS (MEXICO) GP, L.L.C. (RELYING ADVISER) | SUN MOUNTAIN CAPITAL LLC (RELYING ADVISER) | SUN MOUNTAIN CAPITAL ADVISORS, LLC
CRD#: 151477 / SEC#: 801-72312
RIA
Registered Investment Advisory firm - (5/25/2011 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
527 Don Gaspar Avenue, Santa Fe, NM 87505
Mailing Address
Phone number
(505) 780-4218
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 479,032,652 |
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.
