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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-09-19
TX RA APPROVED 2024-09-19
  • CA RA
    APPROVED
    Since 2024-09-19
  • TX RA
    APPROVED
    Since 2024-09-19

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

1010 Grant Ave, Novato, CA 94945 • United States

1010 Grant Ave, Novato, CA 94945 • United States

894 Sir Francis Drake Blvd, San Anselmo, CA 94960 • 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
Edward Jones St Louis MO 10/2014 02/2019
Sorrento Pacific Financial, Llc San Diego CA 02/2019 08/2022
Cuso Financial Services, Lp San Diego CA 08/2022 09/2024
Redwood Credit Union Novato CA 09/2022 Present
Lpl Financial Llc Novato CA 09/2024 Present
  • 10/2014 → 02/2019
    St Louis, MO
  • 02/2019 → 08/2022
    Sorrento Pacific Financial, Llc
    San Diego, CA
  • 08/2022 → 09/2024
    Cuso Financial Services, Lp
    San Diego, CA
  • 09/2022 → Present
    Redwood Credit Union
    Novato, CA
  • 09/2024 → Present
    Novato, CA
Previous Registrations
  • 2022-09-19 → 2024-09-18
    Cuso Financial Services, L.P.
    Novato, CA
    Mill Valley, CA
    San Rafael, CA
  • 2019-02-13 → 2022-08-27
    Sorrento Pacific Financial, Llc
    Santa Rosa, CA
    Ukiah, CA
    Guerneville, CA
    Clearlake, CA
    Lakeport, CA
    Middletown, CA
    Kelseyville, CA
    Santa Rosa, CA
    Healdsburg, CA
    Gualala, CA
    Sonoma, CA
    St Helena, CA
    Yountville, CA
    Calistoga, CA
    Napa, CA
    Sebastopol, CA
    Napa, CA
  • 2015-05-08 → 2019-02-06
    Santa Rosa, CA
    Santa Rosa, CA
    Santa Rosa, CA
    St Louis, MO
    Santa Rosa, CA
    Santa Rosa, CA
    St Louis, MO
    Santa Rosa, CA
Other Businesses

1)08/16/2024-Redwood Wealth Management-DBA for LPL Business (entity for LPL business)-inv related-at reported business location(s)-start date 09/20/2024

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-13
  • S66 Uniform Combined State Law Examination
    2015-03-13
Other Names
  • Mario Pometta
  • Mario August Pometta
  • Mario A Pometta
  • Mario A Pometta
  • Mario August Pometta

View on SEC IAPD

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