Michael S. Flanagan
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.
Michael Sean Flanagan was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
January 14, 2011 - October 4, 2017
SORRENTO PACIFIC FINANCIAL, LLC
January 13, 2011 - October 4, 2017
SORRENTO PACIFIC FINANCIAL, LLC
April 28, 2005 - December 10, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
April 26, 2005 - December 10, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
September 23, 2003 - January 31, 2011
VIST CAPITAL MANAGEMENT
August 30, 2002 - April 1, 2005
SUNAMERICA SECURITIES, INC.
February 5, 2001 - August 30, 2002
HACKETT ASSOCIATES, INC.
March 28, 1997 - September 5, 2000
NORTHEAST SECURITIES, LLC
February 21, 1997 - March 17, 1997
NORTHEAST SECURITIES, LLC
May 11, 1995 - March 7, 1997
JARON EQUITIES CORP.
January 6, 1995 - May 12, 1995
FIRST ALLIED SECURITIES, INC.
March 16, 1994 - January 27, 1995
FIRST AFFILIATED SECURITIES
October 28, 1993 - April 6, 1994
1717 CAPITAL MANAGEMENT COMPANY
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 (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.
