DA
DA
David Adefeso
26 Years of Experience
1 DisclosureSells Insurance
Areas of Practice
Education Planning
Compensation
Fixed/Hourly
Firm Size
1 advisor
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Investment management only (planning not offered)
Sootchy Securities does not charge a fee for their advice. They recommend investments in 529 plans, which may include mutual funds and exchange-traded funds. These funds have their own fees and expenses. Sootchy Securities also charges a transaction fee if you receive gift contributions from friends and family, which are processed through an affiliated company, Sootchy, Inc.
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Location
Los Angeles, CA
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Regulatory History (1)
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Customer Dispute
July 2015Denied
Other Business ActivitiesSells Insurance
David is the president of Pacific Advisory Group, LLC (consulting), owner of Pacific Risk Management Group, PLLC (insurance), and owner of Sootchy, Inc. (technology). He also acts on a reality TV show.
Employment History
Current Registrations
Sootchy Securities, LLC
April 2020 - Present · 5 yrs 11 mos
The Pacific Group
August 2018 - Present · 7 yrs 7 mos
Previous Registrations
AXA Advisors, LLC
March 2002 - September 2018 · 16 yrs 6 mos
AXA Advisors, LLCBroker
March 2002 - September 2018 · 16 yrs 6 mos
Wasserstein Perella & CO., INC.Broker
June 1998 - October 1999 · 1 yr 4 mos
Salomon Brothers INC.Broker
November 1997 - April 1998 · 5 mos
Smith Barney INC.Broker
November 1996 - February 1998 · 1 yr 3 mos
State Registrations2 states
CATX
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.