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CA

Claudia Arnold

MISSION WEALTH MANAGEMENT, LP
Irvine, CA 92614
Some features on this profile are disabled
CRD#: 4470063
CA

Professional summary

Claudia Arnold, who also goes by Claudia Arnold-sawaf, Claudia Safaf, Claudia Sawaf, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Irvine, California.

Claudia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Claudia has worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Claudia Arnold-Sawaf | Claudia Safaf | Claudia Sawaf

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Claudia Arnold'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

October 8, 2019 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 1 Park Plaza Suite 580, Irvine, CA 92614
RIA
CRD#: 113057
Irvine, CA
Past

January 31, 2014 - December 31, 2019

DYNAMIC

RIA
CRD#: 151367
Irvine, CA
Past

July 3, 2007 - February 3, 2014

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
SCOTTSDALE, AZ
Past

June 21, 2007 - February 3, 2014

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
SCOTTSDALE, AZ
Past

July 19, 2006 - June 19, 2007

OSAIC FA, INC.

RIA
CRD#: 3978
LAJOLLA, CA
Past

July 19, 2006 - June 19, 2007

OSAIC FA, INC.

BD
CRD#: 3978
LAJOLLA, CA
Past

June 22, 2004 - July 1, 2005

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
SAN DIEGO, CA
Past

November 5, 2001 - July 1, 2005

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, 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".
MW
MISSION WEALTH MANAGEMENT, LP
MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA
Registered Investment Advisory firm - (6/7/2002 Approved)
California
Registered Investment Advisory firm - (6/14/2002 Terminated)

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.

Highlighted states indicate IAR registrations

IAR
California
(10/8/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/25/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/3/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/31/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/3/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MW
MISSION WEALTH MANAGEMENT, LP
MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA
Registered Investment Advisory firm - (6/7/2002 Approved)
California
Registered Investment Advisory firm - (6/14/2002 Terminated)
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Contact information

Main Address
1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101
Mailing Address
Phone number
(805) 882-2360
Established
Firm type
Fiscal year end
# of Employees
145

SEC notice filing (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts12,456
AUM (Assets Under Management)$ 10,024,060,630

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.

Company Information

MISSION WEALTH MANAGEMENT, LP

CRD#: 113057Irvine, CA 92614

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