Mark H. Boettcher
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.
Mark Holmes Boettcher, who also goes by Mark Boettcher, Mark Holmes Boettcher, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2019 - July 6, 2021
SORRENTO PACIFIC FINANCIAL, LLC
March 15, 2019 - July 6, 2021
SORRENTO PACIFIC FINANCIAL, LLC
October 6, 2017 - February 1, 2019
WBI INVESTMENTS, LLC
October 4, 2017 - February 11, 2019
FORESIDE FUND SERVICES, LLC
July 13, 2016 - September 20, 2017
LEPPLA CAPITAL MANAGEMENT LLC
January 2, 2015 - November 2, 2015
SOLANO WEALTH MANAGEMENT, INC.
February 19, 2013 - November 2, 2015
LPL FINANCIAL LLC
January 2, 2013 - November 11, 2015
LPL FINANCIAL LLC
April 20, 2005 - September 21, 2012
JANUS HENDERSON DISTRIBUTORS US LLC
March 19, 2004 - April 22, 2005
BURRIDGE GROUP LLC
December 3, 2003 - April 15, 2005
AMG DISTRIBUTORS, INC.
August 6, 1998 - October 15, 2003
DAVIS DISTRIBUTORS, LLC
May 3, 1994 - December 31, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 27, 1993 - August 11, 1997
JANUS HENDERSON DISTRIBUTORS US 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
Series 7TO
Date: 4/8/2024
General Securities Representative ExaminationSeries 6TO
Date: 4/8/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
