Unclaimed Profile

Gloria Dawn Foote

FINANCIAL FOCUS LLC·CARLSBAD, California

SIE, Series 7, Series 63CFPClean record29 years registeredFINANCIAL FOCUS LLC

1917 PALOMAR OAKS WAY, CARLSBAD, CA 92008CRD# 1023865Firm CRD# 282177

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Gloria Dawn Foote · CARLSBAD, CA

Registration

CRD #1023865 · FINANCIAL FOCUS LLC · 29 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: FINANCIAL FOCUS LLC

FINANCIAL FOCUS LLC

Jan 2016 – Dec 2020

CARLSBAD, CA

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Jun 2000 – Oct 2017

CARLSBAD, CA

FINANCIAL FOCUS

Jul 1997 – Sep 2016

CARLSBAD, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Registration record

First registered · July 8, 1997

Years registered · 29

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FINANCIAL FOCUS LLC

CRD 282177 · SEC 801-112408

AUM

$633M

Regulatory assets under management

Employees

1,849 client accounts

Services offered by FINANCIAL FOCUS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FINANCIAL FOCUS LLC →

Introduction

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Frequently Asked Questions

What services does Gloria Dawn Foote offer?

Gloria Dawn Foote specializes in Financial Planning, Investment Management.

What are Gloria Dawn Foote's credentials?

Gloria Dawn Foote holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Gloria Dawn Foote located?

Gloria Dawn Foote is based in CARLSBAD, California, last registered with FINANCIAL FOCUS LLC.

How does Gloria Dawn Foote charge for services?

Gloria Dawn Foote's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FINANCIAL FOCUS LLC?

FINANCIAL FOCUS LLC has approximately 8 employees and manages $633M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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