William E. Massie
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.
William Epperson Massie, who also goes by Bill Epperson Massie, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2006. William had worked at 9 firms and has passed the Series 66, SIE, Series 31 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
June 27, 2016 - July 8, 2016
SORRENTO PACIFIC FINANCIAL, LLC
March 2, 2016 - April 15, 2016
PAULSON INVESTMENT COMPANY LLC
June 25, 2013 - June 4, 2014
FORESIDE FUND SERVICES, LLC
January 3, 2012 - May 29, 2013
BLACKROCK INVESTMENTS, LLC
October 26, 2010 - May 29, 2013
BLACKROCK FUND ADVISORS
October 22, 2010 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
August 31, 2009 - September 13, 2010
MORGAN STANLEY
October 30, 2006 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
September 29, 2006 - August 10, 2009
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS 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
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.
