Michele M. Fane
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.
Michele Mcadoo Fane, who also goes by Michele M. Fane, Michele Ann Mcadoo, Michele Mcadoo, Michele Ann Smelser, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1981. Michele had worked at 10 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 3, Series 55, Series 7, Series 4 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
March 18, 2022 - April 28, 2023
SORRENTO PACIFIC FINANCIAL, LLC
March 18, 2022 - April 28, 2023
SCF SECURITIES, INC.
March 18, 2022 - April 28, 2023
NEXT FINANCIAL GROUP, INC.
March 18, 2022 - April 28, 2023
CUSO FINANCIAL SERVICES, L.P.
March 18, 2022 - April 28, 2023
CADARET, GRANT & CO., INC.
January 10, 2001 - January 2, 2002
LIBRA SECURITIES, LLC
March 24, 2000 - April 28, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
April 13, 1983 - April 12, 2000
C. M. BLAIR, W. O. FOSTER & CO., INC.
November 24, 1982 - March 25, 1983
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
September 20, 1981 - November 15, 1982
JEFFERIES LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 3/28/2000
Limited Representative-Equity Trader ExamCurrent 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.
