Sonny D. Licata

SPINNAKER INVESTMENT GROUP

Newport Beach, CA 92660

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CRD#: 6636437

Professional summary

Sonny David Edward Licata, who also goes by Sonny D Licata, is a registered financial advisor currently at SPINNAKER INVESTMENT GROUP, LLC located in Newport Beach, California.

Sonny is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Sonny has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sonny D Licata

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) - RIA

Click below to view Sonny David Edward Licata's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 27, 2024 - Present

SPINNAKER INVESTMENT GROUP, LLC

Office #1: 4100 Macarthur Blvd. Suite 120, Newport Beach, CA 92660

RIA

CRD#: 283414

Newport Beach, CA

Past

September 5, 2023 - May 24, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Irvine, CA

Past

January 10, 2023 - May 24, 2024

MORGAN STANLEY

CRD#: 149777

Irvine, CA

Past

May 17, 2021 - September 5, 2023

HARRISDIRECT LLC

RIA

CRD#: 42159

Irvine, CA

Past

May 14, 2021 - September 5, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

Irvine, CA

Past

March 8, 2018 - May 5, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

CORTE MADERA, CA

Past

February 26, 2018 - May 5, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Corte Madera, CA

Past

February 26, 2018 - May 5, 2021

TD AMERITRADE, INC.

CRD#: 7870

CORTE MADERA, CA

Past

December 8, 2016 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

August 24, 2016 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

RENO, NV

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SPINNAKER INVESTMENT GROUP, LLC

MANDALYN ADVISORS, LLC | SPINNLAW | SPINNAKER INVESTMENT GROUP, LLC

CRD#: 283414 / SEC#: 801-107671

RIA

Registered Investment Advisory firm - (4/15/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/27/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/28/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2016

General Securities Representative Examination

Current Firm

SPINNAKER INVESTMENT GROUP, LLC

MANDALYN ADVISORS, LLC | SPINNLAW | SPINNAKER INVESTMENT GROUP, LLC

CRD#: 283414 / SEC#: 801-107671

RIA

Registered Investment Advisory firm - (4/15/2016 Approved)

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Contact information

Main Address

4100 Macarthur Blvd. Suite 120, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 396-6700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (7/11/2025)

Regulatory assets under management

Total Number of Accounts	2,437
AUM (Assets Under Management)	$ 881,975,397

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/06/2024	Cover Page	Report

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.

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Sonny D. Licata

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sonny David Edward Licata's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

Primary Firm SEC Registration

SPINNAKER INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/28/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/24/2016

Current Firm

SPINNAKER INVESTMENT GROUP, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SPINNAKER INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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