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SP

Sonia L. Portwood

Some features on this profile are disabled
CRD#: 2418042
SP

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.

Sonia Leigh Portwood, who also goes by Sonia Leigh Nosser, was a registered financial professional .

Sonia is a previously registered financial professional and started their career in finance in 1993. Sonia had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sonia Leigh Nosser

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 14, 2009 - December 31, 2017

PCBB CAPITAL MARKETS, LLC

BD
CRD#: 104428
WALNUT CREEK, CA
Past

October 12, 2004 - February 8, 2008

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
MILWAUKEE, WI
Past

January 15, 2003 - September 27, 2004

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

April 12, 2001 - September 27, 2002

PCBB CAPITAL MARKETS, LLC

BD
CRD#: 104428
WALNUT CREEK, CA
Past

November 25, 1998 - April 9, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

June 30, 1997 - November 12, 1998

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA
Past

December 21, 1993 - May 20, 1996

DEPOSIT GUARANTY INVESTMENTS, INC.

BD
CRD#: 27560

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/7/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1993
General Securities Representative Examination

Current Firm

PC
PCBB CAPITAL MARKETS, LLC
BANC INVESTMENT GROUP, LLC | ROC SECURITIES, LLC | PCBB CAPITAL MARKETS, LLC | FINANCIALOXYGEN.COM, INC. | FINANCIALOXYGEN, INC.

CRD#: 104428 / SEC#: , 8-52889

BD
Terminated by SEC on 02/04/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/14/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PACIFIC COAST BANKERS' BANK100% OWNER
BROWN, STEVEN ARTHURCHAIRMAN OF PCBB CAPITAL MARKETS, LLC, PRINCIPAL, PRESIDENT AND CEO2140935
DOHREN, MICHAEL SCOTTCFO, FINOP4453093
SZTUKOWSKI, ALLEN JAMESMANAGING DIRECTOR/PRINCIPAL/CHIEF COMPLIANCE OFFICER2230934

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.

Company Information

PCBB CAPITAL MARKETS, LLC

CRD#: 104428

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