Jeffrey D. Caliguire
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.
Jeffrey Damon Caliguire was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2003. Jeffrey had worked at 4 firms and has passed the Series 66, SIE 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
May 25, 2007 - March 29, 2019
SORRENTO PACIFIC FINANCIAL, LLC
March 15, 2007 - March 29, 2019
SORRENTO PACIFIC FINANCIAL, LLC
November 1, 2006 - March 15, 2007
WOLF FINANCIAL MANAGEMENT, LLC
November 1, 2006 - March 15, 2007
WOLF FINANCIAL MANAGEMENT, LLC
July 24, 2006 - October 17, 2006
WATERSTONE FINANCIAL GROUP, INC.
June 11, 2003 - June 8, 2006
CITIGROUP GLOBAL MARKETS INC.
May 19, 2003 - June 8, 2006
CITIGROUP GLOBAL MARKETS 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 (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.
