Petra R. Welsh
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.
Petra Renate Welsh, who also goes by Petra Renate Schenkel, Patty Welsh, was a registered financial professional .
Petra is a previously registered financial professional and started their career in finance in 1997. Petra had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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
December 8, 2014 - September 18, 2015
SORRENTO PACIFIC FINANCIAL, LLC
December 8, 2014 - September 18, 2015
SORRENTO PACIFIC FINANCIAL, LLC
January 21, 2014 - October 20, 2014
CETERA INVESTMENT ADVISERS LLC
June 15, 2010 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
October 4, 2007 - October 20, 2014
CETERA INVESTMENT SERVICES LLC
August 10, 2007 - October 4, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 14, 2005 - August 10, 2007
SORRENTO PACIFIC FINANCIAL, LLC
November 14, 2005 - August 10, 2007
SORRENTO PACIFIC FINANCIAL, LLC
December 17, 2003 - November 14, 2005
ICBA FINANCIAL SERVICES CORPORATION
February 5, 2001 - November 14, 2005
ICBA FINANCIAL SERVICES CORPORATION
October 4, 2000 - February 9, 2001
U.S. BANCORP INVESTMENTS, INC.
July 1, 1999 - April 19, 2000
CAPITAL BROKERAGE CORPORATION
May 20, 1999 - July 16, 1999
MARKETING ONE SECURITIES, INC.
November 14, 1998 - May 28, 1999
CAL FED INVESTMENTS
April 16, 1997 - November 14, 1998
GLENFED BROKERAGE SERVICES
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.
