Richard M. Gholson
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.
Richard Michael Gholson, who also goes by Michael Gholson, Mike Gholson, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1980. Richard had worked at 23 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27, Series 4, Series 53, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2011 - July 5, 2011
SORRENTO PACIFIC FINANCIAL, LLC
May 22, 2007 - November 30, 2016
CUSO FINANCIAL SERVICES, L.P.
January 20, 2005 - July 6, 2005
CROWELL, WEEDON & CO.
May 6, 2003 - January 21, 2005
EDWARD JONES
May 9, 2002 - February 6, 2003
SECU BROKERAGE SERVICES
May 30, 2000 - May 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2000 - May 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 1998 - November 26, 1999
CETERA WEALTH SERVICES, LLC
June 4, 1998 - September 14, 1999
FSC SECURITIES CORPORATION
December 2, 1997 - June 3, 1998
SENTRA SECURITIES CORPORATION
January 18, 1994 - February 20, 1998
BANCNORTH INVESTMENT GROUP, INC.
October 30, 1990 - November 24, 1997
CETERA INVESTMENT SERVICES LLC
May 23, 1989 - September 4, 1990
MARKETING ONE SECURITIES, INC.
April 28, 1989 - June 2, 1989
ROBERT THOMAS SECURITIES, INC
April 13, 1987 - May 8, 1989
LPL FINANCIAL LLC
April 10, 1987 - May 4, 1987
SAN DIEGO SECURITIES INCORPORATED
January 27, 1987 - March 17, 1987
FIRST CERTIFIED CORPORATION
November 26, 1985 - January 16, 1987
PAMCO SECURITIES AND INSURANCE SERVICES
August 20, 1985 - October 21, 1985
WEDBUSH SECURITIES INC.
January 3, 1984 - May 2, 1987
GAF FINANCIAL AND INSURANCE SERVICES
December 29, 1982 - May 29, 1985
INVEST FINANCIAL CORPORATION
December 1, 1982 - December 16, 1982
INVEST FINANCIAL CORPORATION
April 20, 1982 - August 26, 1982
E. F. HUTTON & COMPANY INC
November 2, 1981 - April 14, 1982
SUTRO & CO. INCORPORATED
July 1, 1980 - August 14, 1981
FOSTER & MARSHALL 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.
