Jerrie K. Carli

FINANCIAL FOCUS LLC

CARLSBAD, CA 92008

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CRD#: 2504055

Professional summary

Jerrie Kay Carli, who also goes by Jerrie Kay Corey, Jerrie Kay Grippin, is a registered financial advisor currently at FINANCIAL FOCUS LLC located in Carlsbad, California and OSAIC WEALTH, INC. located in Carlsbad, California.

Jerrie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jerrie has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jerrie Kay Corey | Jerrie Kay Grippin

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.

1) Paraplanner Position: Paraplanner Nature: An employee of Financial Focus, LLC. Title - Paraplanner Investment Related: Yes Hours: 140 Securities Trading Hours: 140 StartDate: 02/24/1999 Address: 1917 Palomar Oaks Way, Ste 130, Carlsbad CA 92008 2) Jerrie Carli - Agent Position: Agent Nature: Fixed Insurance Agent (Disability, Life, Long TermCare, Annuities) Investment Related: No Hours: 3 Securities Trading Hours: 3 Start Date: 09/12/1994 Address: 1917 Palomar Oaks Way, Ste 130, Carlsbad CA 92008 3) FinancialFocus LLC Outside RIA Position: advisor Nature: Investment Advisor Representative Investment Related: Yes Hours: 17 Securities Trading Hours: 17 Start Date: 08/03/2016Address: 1917 Palomar Oaks Way, Ste 130, Carlsbad CA 92008 4) Osaic Wealth, Inc.; Yes; Carlsbad, CA; Broker Dealer; Registered Representative; 06/2024; 20/ hrs mo; 20/ hrs mo

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerrie Kay Carli's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 3, 2016 - Present

FINANCIAL FOCUS LLC

Office #1: 1925 Palomar Oaks Way #107, Carlsbad, CA 92008

RIA

CRD#: 282177

CARLSBAD, CA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1925 Palomar Oaks Way Suite 107, Carlsbad, CA 92008

RIA

CRD#: 23131

CARLSBAD, CA

Past

October 24, 2017 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

CARLSBAD, CA

Past

June 13, 2000 - October 26, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

CARLSBAD, CA

Past

May 1, 2000 - October 26, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

CARLSBAD, CA

Past

January 12, 2000 - September 22, 2016

FINANCIAL FOCUS

RIA

CRD#: 134904

CARLSBAD, CA

Past

August 3, 1998 - May 16, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

August 4, 1997 - August 27, 1998

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

CRD#: 13642

HOUSTON, TX

Past

January 1, 1997 - July 29, 1998

AMERICAN FIDELITY SECURITIES, INC.

CRD#: 11852

OKLAHOMA CITY, OK

Past

July 18, 1994 - October 22, 1996

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FINANCIAL FOCUS LLC

CRD#: 282177 / SEC#: 801-112408

RIA

Registered Investment Advisory firm - (2/8/2018 Approved)

California

Registered Investment Advisory firm - (3/10/2018 Terminated)

New York

Registered Investment Advisory firm - (2/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (2/8/2018 Terminated)

Washington

Registered Investment Advisory firm - (2/15/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/14/2024)

IAR

California
(8/3/2016)

California
(6/14/2024)

Colorado
(6/14/2024)

Georgia
(6/14/2024)

Tennessee
(6/14/2024)

Virginia
(6/14/2024)

Washington
(6/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/7/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/15/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FINANCIAL FOCUS LLC

CRD#: 282177 / SEC#: 801-112408

RIA

Registered Investment Advisory firm - (2/8/2018 Approved)

California

Registered Investment Advisory firm - (3/10/2018 Terminated)

New York

Registered Investment Advisory firm - (2/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (2/8/2018 Terminated)

Washington

Registered Investment Advisory firm - (2/15/2018 Terminated)

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Contact information

Main Address

1925 Palomar Oaks Way #107, Carlsbad, CA 92008

Mailing Address

Phone number

(760) 431-3040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A AND 2B (8/25/2025)

ADV2A, APPENDIX 1 AND 2B (8/25/2025)

Regulatory assets under management

Total Number of Accounts	482
AUM (Assets Under Management)	$ 453,000,000

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Jerrie K. Carli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jerrie Kay Carli's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

FINANCIAL FOCUS

MONY SECURITIES CORPORATION

FIRST FINANCIAL SECURITIES OF AMERICA, INC.

AMERICAN FIDELITY SECURITIES, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

Primary Firm SEC Registration

FINANCIAL FOCUS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/1999

Series 63

Date: 5/5/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/7/1999

Series 6

Date: 7/15/1994

FINRA

Current Firm

FINANCIAL FOCUS LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL FOCUS LLC

TRUST BUT VERIFY

Contact information

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