John Pereira
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.
John Pereira, who also goes by John C Pereira, John Couto Pereira, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2008. John had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2014 - April 14, 2016
SORRENTO PACIFIC FINANCIAL, LLC
January 17, 2014 - April 14, 2016
SORRENTO PACIFIC FINANCIAL, LLC
September 23, 2011 - December 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 2011 - December 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 2010 - March 21, 2011
CITIGROUP GLOBAL MARKETS INC.
March 10, 2010 - March 21, 2011
CITIGROUP GLOBAL MARKETS INC.
August 8, 2008 - February 17, 2010
NEW ENGLAND SECURITIES
May 21, 2008 - February 17, 2010
NEW ENGLAND SECURITIES
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.
