Corey D. Mcfadden
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.
Corey Doran Mcfadden, who also goes by Corey Doran Mcfadden, was a registered financial professional .
Corey is a previously registered financial professional and started their career in finance in 2001. Corey had worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2023 - July 25, 2025
SORRENTO PACIFIC FINANCIAL, LLC
August 22, 2023 - July 25, 2025
CUSO FINANCIAL SERVICES, L.P.
August 21, 2023 - July 25, 2025
CADARET, GRANT & CO., INC.
March 16, 2020 - May 12, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 2008 - June 3, 2019
LPL FINANCIAL LLC
January 3, 2006 - January 18, 2008
E*TRADE SECURITIES LLC
August 16, 2004 - December 31, 2005
HARRISDIRECT LLC
May 13, 2004 - December 31, 2005
HARRISDIRECT LLC
March 20, 2001 - October 1, 2001
WELLS FARGO CLEARING SERVICES, LLC
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
