Daniel A. Holda
Professional summary
Daniel Alan Holda was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial advisor and started their career in finance in 2007. Prior to being barred, Daniel had worked at 3 firms, which includes SORRENTO PACIFIC FINANCIAL LLC, WADDELL & REED, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2010 - November 28, 2011
SORRENTO PACIFIC FINANCIAL, LLC
March 24, 2010 - November 28, 2011
SORRENTO PACIFIC FINANCIAL, LLC
December 3, 2007 - January 12, 2010
WADDELL & REED
December 3, 2007 - January 12, 2010
WADDELL & REED
May 23, 2007 - October 17, 2007
EDWARD JONES
April 12, 2007 - October 17, 2007
EDWARD JONES
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
