Lee D. Qualls
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.
Lee Douglas Qualls was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1974. Lee had worked at 14 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2009 - March 30, 2012
SORRENTO PACIFIC FINANCIAL, LLC
June 3, 2003 - December 31, 2013
PARTNERVEST ADVISORY SERVICES LLC
May 2, 2003 - July 31, 2009
PARTNERVEST SECURITIES, INC.
July 21, 1994 - May 9, 2003
FOOTHILL SECURITIES, INC.
July 18, 1994 - August 4, 1994
OSAIC WEALTH, INC.
November 11, 1992 - October 10, 1994
SOARES FINANCIAL GROUP, INC.
December 6, 1991 - November 16, 1992
WEALTH RESOURCE CAPITAL CORPORATION
January 6, 1987 - October 11, 1989
INVESTACORP, INC.
March 21, 1985 - November 25, 1986
CETERA WEALTH SERVICES, LLC
April 14, 1981 - April 4, 1985
APEX FINANCIAL PLANNERS CORP.
January 4, 1980 - September 29, 1983
JUDY & ROBINSON SECURITIES, INC
June 1, 1978 - October 17, 1979
APEX FINANCIAL PLANNERS CORP.
January 20, 1978 - June 18, 1978
USLIFE EQUITY SALES CORP
June 10, 1975 - June 12, 1977
DAVE FRIES AND ASSOCIATES
November 1, 1974 - July 13, 1975
PIEDMONT CAPITAL CORPORATION
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
Series 1
Date: 10/24/1974
Registered Representative ExaminationCurrent 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.
