Ernest M. Landwehr
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.
Ernest Michael Landwehr was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1991. Ernest had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2017 - August 5, 2021
SORRENTO PACIFIC FINANCIAL, LLC
January 17, 2017 - August 5, 2021
CUSO FINANCIAL SERVICES, L.P.
May 27, 2003 - February 18, 2016
SCOTTRADE, INC.
April 30, 2002 - March 10, 2003
CHARLES SCHWAB & CO., INC.
November 20, 1995 - March 10, 2003
CHARLES SCHWAB & CO., INC.
May 7, 1993 - February 27, 1995
CHARLES SCHWAB & CO., INC.
January 3, 1992 - April 28, 1993
TD AMERITRADE, INC.
November 22, 1991 - December 10, 1991
CHELSEA STREET SECURITIES, INC.
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 ExaminationSeries 8
Date: 7/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
