Jp Mourad
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.
Jp Mourad was a registered financial professional .
Jp is a previously registered financial professional and started their career in finance in 2000. Jp had worked at 6 firms and has passed the Series 66 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
August 30, 2013 - November 22, 2013
SORRENTO PACIFIC FINANCIAL, LLC
August 30, 2013 - November 22, 2013
SORRENTO PACIFIC FINANCIAL, LLC
October 1, 2012 - December 4, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 4, 2012
J.P. MORGAN SECURITIES LLC
September 23, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 23, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 27, 2006 - September 17, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 27, 2006 - September 17, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 31, 2001 - October 31, 2006
WELLS FARGO INVESTMENTS, LLC
July 12, 2001 - October 31, 2006
WELLS FARGO INVESTMENTS, LLC
March 27, 2000 - May 9, 2001
ROBERTSON STEPHENS, 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 (2 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 |
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.
