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JR

Jennifer K. Ramaswamy

SONOMA MOUNTAIN FINANCIAL LLC
PETALUMA, CA
Some features on this profile are disabled
CRD#: 7755614
JR

Professional summary

Jennifer Katherine Ramaswamy, who also goes by Jennifer Katherine Bresnahan, Jenny Katherine Bresnahan, Jenny Katherine Ramaswamy, is a registered financial advisor currently at SONOMA MOUNTAIN FINANCIAL LLC located in Petaluma, California.

Jennifer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Jennifer has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jennifer Katherine Bresnahan | Jenny Katherine Bresnahan | Jenny Katherine Ramaswamy

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.
1) 05/2023 - Bresnahan Financial Services / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 12/19/2023 - Sonoma Mountain Financial - Investment Related - At Reported Business location(s) - DBA for LPL Business (entity for LPL business) - Started: 12/07/2023 - 160 Hrs/mo During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jennifer Katherine Ramaswamy'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

January 21, 2025 - Present

SONOMA MOUNTAIN FINANCIAL LLC

RIA
CRD#: 334099
PETALUMA, CA
Past

September 22, 2023 - February 10, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
PETALUMA, CA
Past

July 3, 2023 - February 10, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
PETALUMA, 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
(1/21/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/21/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/3/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/6/2023
Securities Industry Essentials Examination

Current Firm

SM
SONOMA MOUNTAIN FINANCIAL LLC
SONOMA MOUNTAIN FINANCIAL LLC

CRD#: 334099 / SEC#:

California
Registered Investment Advisory firm - (1/21/2025 Approved)
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Contact information

Main Address
Petaluma, CA
Mailing Address
Po Box 750771, Petaluma, CA 94975
Phone number
(415) 702-0772
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts28
AUM (Assets Under Management)$ 10,777,669

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

SONOMA MOUNTAIN FINANCIAL LLC

CRD#: 334099Petaluma, CA

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