JS
Jerry V. Sanada
Some features on this profile are disabled
CRD#: 2653139
JS
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.
Jerry Vincent Sanada, CFP® was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1995. Jerry had worked at 1 firm and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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. Alliance Entrust
Investment Related: No
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Financial Planning, Financial Independence/Retirement Planning, Tax Review, Risk Management Review, Business consulting and accounting services
Position: CFO of Parent Company (Alliance Financial Group, Inc.)/Manager
Start Date: March 2011 (since inception)
Hours/Month: 10
Hours/Month during trading hours: 10
Description of duties: Business consulting and accounting services
2. ABLP Management LLC
Investment Related: Yes
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Portfolio and Management of Commercial Real Estate Loans
Position: CFO of Managing Company (Alliance Financial Group, Inc.)/Manager
Start Date: November 2012 (since inception)
Hours/Month: 80
Hours/Month during trading hours: 40
Description of duties: Oversight of loan approvals, marketing, and management
3. RESOP, LLC
Investment Related: Yes
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Portfolio and Management of Self Storage Facilities
Position: CEO of Managing Company (Alliance Financial Group, Inc.)/Manager
Start Date: 1998 (since inception)
Hours/Month: 40
Hours/Month during trading hours: 20
Description of duties: Oversight of new property acquisitions, marketing, and management
4. Stable Value Portfolio, LP
Investment Related: Yes
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Portfolio of income producing securities
Position: CFO of General Partner (Alliance Financial Group, Inc.)/Manager
Start Date: June 2005 (since inception)
Hours/Month: 10
Hours/Month during trading hours: 10
Description of duties: Portfolio Management
5. Alternative Investment Portfolio, LP
Investment Related: Yes
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Portfolio of Real Estate properties and other Limited Partnerships
Position: CFO of General Partner (Alliance Financial Group, Inc.)/Manager
Start Date: August 2005 (since inception)
Hours/Month: 10
Hours/Month during trading hours: 10
Description of duties: Portfolio Management
6. Westlake Professional Building Partners, LLC
Investment Related: No
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Management of Owner occupied building
Position: CFO of Parent Company (Alliance Financial Group, Inc.)/Manager
Start Date: 1998 (since inception)
Hours/Month: 2
Hours/Month during trading hours: 0
Description of duties: Management and oversight of the owner occupied building
7. Moorpark H.S. Instrumental Music Booster Association
Investment Related: No
Address: New Los Angeles Ave & Miller Parkway, Moorpark, CA 93021
Business Nature: Fundraising for the booster association selling Christmas Trees
Position: Member / Coordination
Start Date: 2015 (seasonal)
Hours/Month: 10-20
Hours/Month during trading hours: 0
Description of duties: tax filings and financial reporting
Compensation: N/A - Volunteer
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®
Experience
Past
October 4, 2001 - December 31, 2024
ALLIANCE ADVISORY & SECURITIES, INC.
RIA
CRD#: 18835
WESTLAKE VILLAGE, CA
Past
November 20, 1995 - August 23, 2021
ALLIANCE ADVISORY & SECURITIES, INC.
BD
CRD#: 18835
WESTLAKE VILLAGE, CA
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".
AA
ALLIANCE ADVISORY & SECURITIES, INC.
ALLIANCE ADVISORY & SECURITIES, INC | PETRA FINANCIAL GROUP, INC. | DEVOTED CAPITAL | ALLIANCE ENTRUST, INC. | ALLIANCE ENTRUST | ALLIANCE ADVISORY & SECURITIES, LLC | ALLIANCE ADVISORY & SECURITIES, INC.
CRD#: 18835 / SEC#: 801-67105, 8-36999
RIA
Registered Investment Advisory firm - SEC (9/5/2006 Approved)California
Registered Investment Advisory firm - SEC (9/11/2006 Terminated)Texas
Registered Investment Advisory firm - SEC (9/5/2006 Terminated)BD
Terminated by SEC on 08/22/2021
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
General Industry/Product Exam
RR
Series 7TO
Date: 3/27/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 3/27/2024
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AA
ALLIANCE ADVISORY & SECURITIES, INC.
ALLIANCE ADVISORY & SECURITIES, INC | PETRA FINANCIAL GROUP, INC. | DEVOTED CAPITAL | ALLIANCE ENTRUST, INC. | ALLIANCE ENTRUST | ALLIANCE ADVISORY & SECURITIES, LLC | ALLIANCE ADVISORY & SECURITIES, INC.
CRD#: 18835 / SEC#: 801-67105, 8-36999
RIA
Registered Investment Advisory firm - SEC (9/5/2006 Approved)California
Registered Investment Advisory firm - SEC (9/11/2006 Terminated)Texas
Registered Investment Advisory firm - SEC (9/5/2006 Terminated)BD
Terminated by SEC on 08/22/2021
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361
Mailing Address
Phone number
(805) 371-8020
Established
California since 05/12/1982
Firm type
Corporation
Fiscal year end
June
# of Employees
25
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,728 |
| AUM (Assets Under Management) | $ 639,384,881 |
Disclosures
| Regulatory Event | 2 |
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.
