AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RD

Roxanne F. Desouza

SEAWISE FINANCIAL
Cardiff By The Sea, CA 92007
Some features on this profile are disabled
CRD#: 7690573
RD

Professional summary

Roxanne Fiona Desouza is a registered financial advisor currently at SEAWISE FINANCIAL, INC. located in Cardiff By The Sea, California.

Roxanne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Roxanne has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
Tricity Medical Center; non-investment related; 4002 Vista Way, Oceanside, CA 92056; Occupational Therapist; start date: 03/2023; 16hr/month, 16 of which during trading hours; Evauate and treat patients admitted for a variety of dx for motor and cognitive deficits as it relates to ADL/IADL perfformace to determine best post-acute care discharge dispostion. (2) Satori Wealth Management; investment related; 4660 La Jolla Village Dr ste 100, San Diego, CA 92122; Client Service Associate; start date: 07/2023; 20hr/week; 20hrs/week during securities trading hours; Client service and financial planning tasks

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roxanne Fiona Desouza's 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

February 1, 2023 - Present

SEAWISE FINANCIAL, INC.

Office #1: 120 Birmingham Drive Suite 240f, Cardiff By The Sea, CA 92007
RIA
CRD#: 298012
Cardiff By The Sea, CA

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
(2/1/2023)
IAR
Texas
(2/1/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/6/2023
Uniform Investment Adviser Law Examination

Current Firm

SEAWISE FINANCIAL, INC.
SEAWISE FINANCIAL, INC.
SEAWISE FINANCIAL, INC. | TK PACIFIC WEALTH, INC | TK PACIFIC WEALTH

CRD#: 298012 / SEC#:

California
Registered Investment Advisory firm - (9/19/2018 Approved)
Texas
Registered Investment Advisory firm - (10/5/2018 Conditional Restricted)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
120 Birmingham Drive Suite 240f, Cardiff By The Sea, CA 92007
Mailing Address
Phone number
(619) 738-3079
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts230
AUM (Assets Under Management)$ 55,225,409

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.

Company Information

SEAWISE FINANCIAL, INC.

SEAWISE FINANCIAL, INC.

CRD#: 298012Cardiff By The Sea, CA 92007

TRUST BUT VERIFY

Monitor Roxanne Desouza

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Paul Avila Neves
Paul NevesAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
SAN DIEGO, CA
Alice Ruiz
Alice RuizAdvisorCheck Check Mark
SCHWAB WEALTH ADVISORY, INC.
IAR
RR
San Diego, CA
Nilay Eda Barefield
Nilay BarefieldAdvisorCheck Check Mark
CETERA INVESTMENT ADVISERS LLC
IAR
RR
San Diego, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.