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Investment Adviser Firm Summary

SORRENTO PACIFIC FINANCIAL, LLC (CRD# 127787 / SEC# 8-66046, 801-70354)
Alternate Names: ADVANCED FINANCIAL SOLUTIONS, LLC , SORRENTO PACIFIC FINANCIAL, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/15/2009
California Terminated 08/04/2009
Iowa Terminated 08/03/2009
Louisiana Terminated 08/06/2009
Maine Terminated 08/31/2009
Maryland Terminated 08/17/2009
Mississippi Terminated 08/03/2009
Nebraska Terminated 12/31/2008
New Jersey Terminated 09/14/2009
New Mexico Terminated 08/03/2009
Pennsylvania Terminated 08/06/2009
South Carolina Terminated 08/03/2009
Tennessee Terminated 09/02/2009
Virginia Terminated 08/05/2009
Washington Terminated 10/01/2007
Wisconsin Terminated 08/03/2009

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 09/21/2009
Alaska 07/19/2017
Arizona 02/08/2013
Arkansas 07/19/2017
California 12/14/2004
Colorado 02/03/2016
Connecticut 02/08/2013
Delaware 07/19/2017
District of Columbia 07/19/2017
Florida 08/04/2009
Georgia 07/19/2017
Hawaii 02/08/2013
Idaho 07/19/2017
Illinois 07/15/2009
Indiana 07/19/2017
Iowa 07/15/2009
Kansas 07/19/2017
Kentucky 07/19/2017
Louisiana 07/15/2009
Maine 07/15/2009
Maryland 08/03/2009
Massachusetts 02/08/2013
Michigan 02/09/2010
Minnesota 02/08/2013
Mississippi 08/03/2009
Missouri 02/08/2013
Montana 02/08/2013
Nebraska 07/15/2009
Nevada 07/19/2017
New Hampshire 07/19/2017
New Jersey 09/14/2009
New Mexico 08/03/2009
New York 02/08/2013
North Carolina 02/08/2013
North Dakota 07/19/2017
Ohio 07/19/2017
Oklahoma 08/03/2009
Oregon 02/08/2013
Pennsylvania 07/15/2009
Puerto Rico 07/19/2017
Rhode Island 07/19/2017
South Carolina 08/03/2009
South Dakota 07/19/2017
Tennessee 07/15/2009
Texas 07/19/2017
Utah 07/19/2017
Vermont 07/19/2017
Virgin Islands 07/19/2017
Virginia 08/03/2009
Washington 07/19/2017
West Virginia 07/19/2017
Wisconsin 07/15/2009
Wyoming 07/05/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser