Unclaimed Profile

Theresa Frances Spath

SIERRA INVESTMENT MANAGEMENT INC·SANTA MONICA, California

Series 7Clean record14 years registeredSIERRA INVESTMENT MANAGEMENT INC

3420 OCEAN PARK BLVD, STE 3060, SANTA MONICA, CA 90405CRD# 2554263Firm CRD# 106615

Profile Verification

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

Identity

Theresa Frances Spath · SANTA MONICA, CA

Registration

CRD #2554263 · SIERRA INVESTMENT MANAGEMENT INC · 14 years registered

Brand Profile

Not yet started

Career History

ZUMA WEALTH LLC

Jan 2021 – present

WRIGHT FUND MANAGEMENT, LLC

Dec 2018 – Feb 2021

SANTA MONICA, CA

SIERRA INVESTMENT MANAGEMENT INC

Sep 2015 – Feb 2021

SANTA MONICA, CA

MERCER GLOBAL ADVISORS INC.

Feb 2012 – Aug 2015

SANTA BARBARA, CA

Registrations & Exams

FINRA examinations passed

Series 7

Registration record

First registered · February 8, 2012

Years registered · 14

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SIERRA INVESTMENT MANAGEMENT, LLC

CRD 106615 · SEC 801-42954

AUM

$388M

Regulatory assets under management

Employees

900 client accounts

Services offered by SIERRA INVESTMENT MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SIERRA INVESTMENT MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Theresa Frances Spath offer?

Theresa Frances Spath specializes in Financial Planning, Investment Management, Fee-Only Advisory. Contact their office in SANTA MONICA, California for a consultation.

What are Theresa Frances Spath's credentials?

Theresa Frances Spath is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Theresa Frances Spath located?

Theresa Frances Spath is based in SANTA MONICA, California, working with SIERRA INVESTMENT MANAGEMENT INC. Their office serves clients in the SANTA MONICA metropolitan area and surrounding communities.

How does Theresa Frances Spath charge for services?

Theresa Frances Spath's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SIERRA INVESTMENT MANAGEMENT INC?

SIERRA INVESTMENT MANAGEMENT INC has approximately 31 employees and manages $388M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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