Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Sorrento Pacific Financial (a/k/a Advanced Financial Solutions). If you suffered losses investing with Sorrento Pacific Financial (a/k/a Advanced Financial Solutions), then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Sorrento Pacific Financial (a/k/a Advanced Financial Solutions) (CRD# 127787) (SEC# 801-70354, 8-66046)
As of April 4, 2020, Sorrento Pacific Financial (a/k/a Advanced Financial Solutions)’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
Main Office Location
10150 MEANLEY DRIVE, 1ST FLOOR
SAN DIEGO, CA 92131
USA
Mailing Address
10150 MEANLEY DRIVE, 1ST FLOOR
SAN DIEGO, CA 92131
USA
Business Telephone Number
858-805-7900
Direct Owners and Executive Officers
AWS 3, INC, SOLE OWNER
DAHL, RICHARD STEWART (CRD#:1080878), CHIEF COMPLIANCE OFFICER; ROSFP
KILROY, DANIEL JOSEPH (CRD#:2022798), FINOP
SEYFERT, VALORIE ANNE (CRD#:1275676), PRESIDENT, CLO, CFO, CEO
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Sorrento Pacific Financial (a/k/a Advanced Financial Solutions) and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
