Sonny David Edward Licata

Current Employers

Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-07-03
TX	RA	APPROVED_RES	2026-07-02

CA RA
APPROVED

Since 2026-07-03
TX RA
APPROVED_RES

Since 2026-07-02

Branch Locations

2400 E Katella Ave Suite 910, Anaheim, CA 92806 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Scottrade, Inc.	Reno	NV	04/2016	02/2018
Td Ameritrade, Inc.	Reno	NV	02/2018	05/2021
Td Ameritrade Investment Management, Llc	Omaha	NE	02/2018	05/2021
E*Trade Securities	Irvine	CA	05/2021	09/2023
E*Trade From Morgan Stanley	Irvine	CA	01/2023	05/2024
Morgan Stanley	Irvine	CA	09/2023	05/2024
Td Ameritrade	Corte Madera	CA	02/2018	05/2021
Spinnaker Investment Group, Llc	Newport Beach	CA	06/2024	06/2026
Edelman Financial Engines	Santa Clara	CA	06/2026	Present

04/2016 → 02/2018

Scottrade, Inc.

Reno, NV
02/2018 → 05/2021

Td Ameritrade, Inc.

Reno, NV
02/2018 → 05/2021

Td Ameritrade Investment Management, Llc

Omaha, NE
05/2021 → 09/2023

E*Trade Securities

Irvine, CA
01/2023 → 05/2024

E*Trade From Morgan Stanley

Irvine, CA
09/2023 → 05/2024

Morgan Stanley

Irvine, CA
02/2018 → 05/2021

Td Ameritrade

Corte Madera, CA
06/2024 → 06/2026

Spinnaker Investment Group, Llc

Newport Beach, CA
06/2026 → Present

Edelman Financial Engines

Santa Clara, CA

Previous Registrations

2024-06-27 → 2026-06-24

Spinnaker Investment Group, Llc

Newport Beach, CA
2023-09-05 → 2024-05-24

Morgan Stanley

Irvine, CA
2021-05-17 → 2023-09-05

Harrisdirect Llc

Santa Ana, CA

Arlington, VA

Irvine, CA
2018-03-08 → 2021-05-05

Td Ameritrade, Inc.

Reno, NV

Corte Madera, CA
2018-02-26 → 2021-05-05

Td Ameritrade Investment Management, Llc

Omaha, NE

Reno, NV

Corte Madera, CA

Corte Madera, CA
2016-12-08 → 2018-02-26

Scottrade Investment Management

Saint Louis, MO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-11-28

S66 Uniform Combined State Law Examination

2016-11-28

Designations

Other Names

Sonny David Edward Licata
Sonny D Licata

View on SEC IAPD