David C. Bongiorni
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.
David Charles Bongiorni was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1978. David had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 8 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
May 4, 2015 - October 4, 2018
SORRENTO PACIFIC FINANCIAL, LLC
May 4, 2015 - October 4, 2018
CUSO FINANCIAL SERVICES, L.P.
February 8, 2012 - October 4, 2018
SORRENTO PACIFIC FINANCIAL, LLC
April 15, 2010 - October 4, 2018
CUSO FINANCIAL SERVICES, L.P.
May 27, 2008 - May 14, 2009
LPL FINANCIAL LLC
September 27, 2000 - May 27, 2008
IFMG SECURITIES, INC.
July 15, 1999 - August 2, 2000
WEBSTER INVESTMENT SERVICES, INC.
February 14, 1997 - July 15, 1999
IFMG SECURITIES, INC.
November 17, 1995 - February 12, 1997
BANKBOSTON INVESTOR SERVICES, INC.
March 22, 1991 - November 21, 1995
WALL STREET ACCESS
February 2, 1990 - March 21, 1991
ROYAL HUTTON SECURITIES CORP.
November 7, 1986 - February 13, 1990
INVEST FINANCIAL CORPORATION
October 31, 1985 - March 24, 1986
TOWER SQUARE SECURITIES, INC.
December 15, 1983 - November 19, 1986
JSC SECURITIES, INC.
May 22, 1979 - December 7, 1983
ADVEST, INC.
April 11, 1978 - June 19, 1979
AMERICAN EXPRESS FINANCIAL CORPORATION
April 11, 1978 - June 19, 1979
AMERIPRISE FINANCIAL SERVICES, LLC
April 11, 1978 - June 19, 1979
IDS LIFE INSURANCE COMPANY
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: 4/6/1978
Registered Representative ExaminationSeries 8
Date: 3/15/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
