Barry L. Adler
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.
Barry Lynn Adler, who also goes by Barry L. Adler, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1971. Barry had worked at 23 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2022 - April 28, 2023
SORRENTO PACIFIC FINANCIAL, LLC
March 18, 2022 - April 28, 2023
SCF SECURITIES, INC.
March 18, 2022 - April 28, 2023
NEXT FINANCIAL GROUP, INC.
March 18, 2022 - April 28, 2023
CUSO FINANCIAL SERVICES, L.P.
March 18, 2022 - April 28, 2023
CADARET, GRANT & CO., INC.
August 21, 2017 - April 28, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
January 16, 2008 - August 21, 2017
FINANCIAL WEST GROUP
October 15, 2002 - January 16, 2008
THE SHEMANO GROUP, INC.
February 11, 2002 - October 21, 2002
FIRST ALLIED SECURITIES, INC.
December 14, 2001 - February 11, 2002
INTERFIRST CAPITAL CORPORATION
September 24, 2001 - November 20, 2001
WITENBERG INVESTMENT COMPANIES, INC.
April 9, 1999 - August 29, 2001
RH INVESTMENT CORPORATION
March 8, 1999 - April 13, 1999
PARAGON CAPITAL MARKETS, INC.
April 1, 1985 - February 4, 1999
DRAKE & COMPANY, INC.
June 26, 1984 - April 2, 1985
BROADCHILD SECURITIES CORP.
June 16, 1982 - June 7, 1984
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
November 4, 1981 - June 17, 1982
SECURITIES WEST, INC.
June 23, 1978 - August 29, 1984
INVESTORS FINANCIAL SERVICES, INCORPORATED
December 13, 1973 - June 17, 1981
INVESTORS FINANCIAL SERVICES, INC.
September 10, 1973 - February 14, 1974
PARKER-JACKSON & CO., INC.
July 16, 1973 - October 27, 1973
FREDRICK GREGORY & COMPANY
September 21, 1972 - October 26, 1973
UNITED SECURITIES COMPANY OF AMERICA
September 13, 1971 - November 5, 1972
FRANK AND DRAKE, INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/29/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 9/7/1971
Registered Representative ExaminationCurrent Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (2 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 |
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.
