Aase A. Christensen
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.
Aase Agergaard Christensen, who also goes by Aase Gerti Agergaard, Aase Christensen, Osa Christensen, was a registered financial professional .
Aase is a previously registered financial professional and started their career in finance in 1987. Aase had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2012 - September 25, 2013
SORRENTO PACIFIC FINANCIAL, LLC
July 31, 2009 - September 25, 2013
SORRENTO PACIFIC FINANCIAL, LLC
March 15, 2004 - July 31, 2009
PARTNERVEST SECURITIES, INC.
March 12, 2004 - August 14, 2012
PARTNERVEST ADVISORY SERVICES LLC
July 1, 2003 - March 24, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 24, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 17, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 17, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 29, 2001 - October 31, 2002
A. G. EDWARDS & SONS, INC.
December 5, 1997 - October 31, 2002
A. G. EDWARDS & SONS, INC.
October 17, 1997 - December 16, 1997
MORGAN STANLEY DW INC.
October 13, 1987 - January 12, 1988
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 (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.
