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

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
ES

Ethan J. Senn

SAGE STONE WEALTH MANAGEMENT LLC
La Jolla, CA 92037
Some features on this profile are disabled
CRD#: 7852146
ES

Professional summary

Ethan James Senn is a registered financial advisor currently at SAGE STONE WEALTH MANAGEMENT LLC located in La Jolla, California.

Ethan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Ethan has worked at 1 firm and has passed the Series 65 and SIE exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ethan James Senn'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 6, 2024 - Present

SAGE STONE WEALTH MANAGEMENT LLC

Office #1: 7946 Ivanhoe Avenue Suite 316, La Jolla, CA 92037
RIA
CRD#: 155477
La Jolla, CA

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".
SS
SAGE STONE WEALTH MANAGEMENT LLC
KING & CO. INVESTMENT COUNSEL LLC | SAGE STONE WEALTH MANAGEMENT LLC

CRD#: 155477 / SEC#: 801-91170

RIA
Registered Investment Advisory firm - (4/17/2015 Approved)
California
Registered Investment Advisory firm - (5/17/2015 Terminated)

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
(6/6/2024)
IAR
Texas
(6/6/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/1/2024
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/20/2023
Securities Industry Essentials Examination

Current Firm

SS
SAGE STONE WEALTH MANAGEMENT LLC
KING & CO. INVESTMENT COUNSEL LLC | SAGE STONE WEALTH MANAGEMENT LLC

CRD#: 155477 / SEC#: 801-91170

RIA
Registered Investment Advisory firm - (4/17/2015 Approved)
California
Registered Investment Advisory firm - (5/17/2015 Terminated)
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
7946 Ivanhoe Avenue Suite 316, La Jolla, CA 92037
Mailing Address
Phone number
(858) 412-6404
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DATED MARCH 31, 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts424
AUM (Assets Under Management)$ 230,424,004

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

SAGE STONE WEALTH MANAGEMENT LLC

CRD#: 155477La Jolla, CA 92037

TRUST BUT VERIFY

Monitor Ethan Senn

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
Nilay Eda Barefield
Nilay BarefieldAdvisorCheck Check Mark
CETERA INVESTMENT ADVISERS LLC
IAR
RR
San Diego, CA
Alice Ruiz
Alice RuizAdvisorCheck Check Mark
SCHWAB WEALTH ADVISORY, INC.
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.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.