Philip A. Bewley
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.
Philip Andrew Bewley, who also goes by Andy Bewley, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1977. Philip had worked at 8 firms and has passed the Series 63, Series 7, 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 - July 31, 2014
SORRENTO PACIFIC FINANCIAL, LLC
November 5, 2003 - August 1, 2014
PARTNERVEST ADVISORY SERVICES LLC
October 29, 2003 - July 31, 2009
PARTNERVEST SECURITIES, INC.
February 7, 1995 - November 14, 2003
OAK TREE SECURITIES, INC.
November 20, 1991 - January 15, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
November 19, 1989 - December 2, 1991
OSAIC WEALTH, INC.
June 13, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 2, 1977 - June 15, 1988
SOUTHMARK FINANCIAL SERVICES, 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
Series 1
Date: 7/28/1977
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.
