Dave J. Cortez
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.
Dave John Cortez, who also goes by Dave Cortez, was a registered financial professional .
Dave is a previously registered financial professional and started their career in finance in 1994. Dave had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2007 - February 3, 2012
SORRENTO PACIFIC FINANCIAL, LLC
July 19, 2007 - November 1, 2007
IFMG SECURITIES, INC.
February 9, 2007 - July 12, 2007
WAMU INVESTMENTS, INC.
June 7, 2006 - July 28, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
June 6, 2006 - July 28, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
April 10, 2002 - May 2, 2006
WHITNEY SECURITIES, L.L.C.
June 17, 1996 - April 8, 2002
CAPITAL ONE INVESTMENTS, LLC
September 13, 1994 - July 5, 1996
CAPITAL BROKERAGE CORPORATION
March 30, 1994 - August 31, 1994
EDWARD JONES
January 1, 1994 - February 15, 1994
F.N. WOLF & CO., 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
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.
