The SPF Support That Makes Your Advisor Great
As a full-service registered broker dealer, SPF offers a tremendous amount of support and technology solutions to your advisor. Your investment representative has a multitude of resources at his or her disposal to support your investment planning, including:
- Research – SPF and its advisors have access to the leading research and portfolio management tools, including Standard & Poors, Morningstar®, Albridge™, and EbixExchange
- Technology – SPF’s proprietary Web-based data management system, dataVISION®, allows your advisor to manage your profile, portfolio and planning information in a secure online environment. With dataVISION your investment representative is more efficient and effective
- Training – SPF provides its investment representatives with online and in-person training on industry trends, available products, compliance requirements, and technology enhancements that help them provide investment recommendations that are appropriate for your situation
- Compliance – SPF compliance staff help your advisor navigate the increasingly complex regulatory environment. We provide oversight and work closely with your advisor to run a compliant practice
With a ratio of just four advisors for each SPF back office staff member, your advisor is fully supported to run a supportive practice. And by providing our advanced technology, SPF has automated many administrative functions so your advisor can focus on what’s most important: you and your family's financial goals.
Non-deposit investment products and services are offered through Sorrento Pacific Financial, LLC (SPF), a registered broker-dealer (Member FINRA/SIPC) and SEC Registered Investment Advisor. Products offered through SPF: are not FDIC or otherwise federally insured, are not deposits or guarantees of a bank, and may involve investment risk including possible loss of principal. Investment Representatives are registered through SPF.