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1200 Prospect St Suite 200, La Jolla, CA 92037 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-27 |
| TX | RA | APPROVED_RES | 2025-01-14 |
Branch Locations
1200 Prospect St Suite 200, La Jolla, CA 92037 • United States
12760 High Bluff Drive Suite 260, San Diego, CA 92130 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | San Diego | CA | 12/2008 | 11/2018 |
| Entrust Wealth Advisors, Llc | San Diego | CA | 11/2018 | Present |
| Arete Wealth Management Llc | Chicago | IL | 11/2018 | 07/2020 |
| Alphacore Capital, Llc | San Diego | CA | 01/2025 | Present |
SORRENTO VENTURES VENTURE CAPITAL FIRM. I INVESTED 250,000 IN THE PARTNERSHIP IN 1997 AS A LIMITED PARTNER. I HAVE NO OBLIGATIONS IN THE MANAGEMENT OF THE COMPANIES IN THE INVESTMENT PORTFOLIO OF SORRENTO. SORRENTO HAS MAINTAINED ACCOUNTS TO INVEST THE CASH IN A NUMBER OF THEIR FUNDS INCLUDING SORRENTO 3, THE FUND WHICH I HAVE AN INVESTMENT. THE FUNDS HAVE BEEN INVESTED IN MONEY MARKET FUNDS, CD'S AND COMMERCIAL PAPER OBLIGATIONS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 1983-11-14 |
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