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Inactive

Frank Thomas Troise

Soho Financial Services LLC

Montecito, CA

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Current Employers
Soho Financial Services Llc

1187 Coast Village Road Suite 546, Montecito, CA 93108 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

1187 Coast Village Road Suite 546, Montecito, CA 93108 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Soho Capital Llc Montecito CA 01/1997 Present
Soho Financial Services Llc Managing Member CA 11/2006 Present
Soho Asset Management, Llc Montecito CA 09/2007 Present
  • 01/1997 → Present
    Soho Capital Llc
    Montecito, CA
  • 11/2006 → Present
    Soho Financial Services Llc
    Managing Member, CA
  • 09/2007 → Present
    Soho Asset Management, Llc
    Montecito, CA
Previous Registrations
  • 2013-02-08 → 2017-12-31
    Soho Financial Services Llc
    Henderson, NV
  • 2015-02-09 → 2015-12-31
    Soho Capital Llc
    Montecito, CA
  • 2015-02-09 → 2015-12-31
    Soho Asset Management Llc
    Montecito, CA
  • 2013-02-08 → 2014-12-31
    Soho Capital Llc
    Henderson, NV
  • 2013-02-08 → 2014-12-31
    Soho Asset Management Llc
    Henderson, NV
  • 2012-02-21 → 2012-12-31
    Soho Financial Services Llc
    Los Olivos, CA
  • 2007-01-04 → 2010-12-31
    Soho Capital Llc
    Los Olivos, CA
  • 2007-01-26 → 2010-12-31
    Soho Financial Services Llc
    Los Olivos, CA
  • 2008-03-10 → 2010-12-31
    Soho Asset Management Llc
    Los Olivos, CA
  • 2003-10-14 → 2006-12-31
    Soho Capital Llc
    Santa Moncia, CA
Other Businesses

(1) A PRINCIPAL OF SOHO CAPITAL LLC AND SOHO ASSET MANAGEMENT LLC MANAGEMENT CONSULTING FIRMS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-05-23
S66 Uniform Combined State Law Examination 1998-11-20
  • S65 Uniform Investment Adviser Law Examination
    2003-05-23
  • S66 Uniform Combined State Law Examination
    1998-11-20
Other Names
  • Frank Troise
  • Frank T Troise

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · MONTECITO, CA
MANCHESTER CAPITAL MANAGEMENT LLC · Montecito, CA
MANCHESTER CAPITAL MANAGEMENT LLC · Montecito, CA
MANCHESTER CAPITAL MANAGEMENT LLC · Montecito, CA
WATCHFIRE VENTURES, LLC · MONTECITO, CA
LPL FINANCIAL LLC · MONTECITO, CA
RBC SECURITIES, INC · Montecito, CA
MORGAN STANLEY · Montecito, CA

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