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LS

Luke L. Sage

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CRD#: 4508289
LS

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.

Luke Lawrence Sage was a registered financial professional .

Luke is a previously registered financial professional and started their career in finance in 2002. Luke had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

September 9, 2015 - September 24, 2025

SHORELINEAMBROSE ADVISORS, LLC

BD
CRD#: 141046
SAN DIEGO, CA
Past

July 29, 2004 - May 15, 2013

CBIZ FINANCIAL SOLUTIONS, INC.

BD
CRD#: 16678
SAN DIEGO, CA
Past

March 21, 2002 - July 29, 2004

CBIZ MERGERS & ACQUISITIONS GROUP, INC.

BD
CRD#: 29294
CHICAGO, IL

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
RR
Series 63
Date: 7/8/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/2002
General Securities Representative Examination

Current Firm

SA
SHORELINEAMBROSE ADVISORS, LLC
SHORELINEAMBROSE ADVISORS, LLC | SHP SECURITIES, LLC

CRD#: 141046 / SEC#: , 8-67357

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
6310 Greenwich Drive Suite 120, San Diego, CA 92122
Mailing Address
6310 Greenwich Drive Suite 120, San Diego, CA 92122
Phone number
(858) 587-9800
Established
California since 04/08/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AMBROSE CAPITAL PARTNERS, LLCOWNER
SHORELINE PARTNERS, LLCOWNER
HARDEN, MICHAEL JAMESVICE PRESIDENT4256503
MALOTT, TIMOTHY GERALDPRESIDENT AND CEO, CCO & AMLCO5246927
THORNTON, STEVEN LEEFINOP4496384

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

SHORELINEAMBROSE ADVISORS, LLC

CRD#: 141046

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