Our Founders

Both of our co-founders, Valorie Seyfert (President/CEO) and Amy Beattie (Chief Operating Officer) are veterans of the securities industry. The combination of their unique ability to be visionary while efficiently directing daily operations provides Sorrento Pacific Financial (SPF) with a wealth of competitive advantages.

Valorie Seyfert, President/CEO

Valorie has extensive experience in the securities industry as legal counsel to broker-dealers, investment advisors and financial institutions. She is an industry-recognized expert in the areas of regulatory compliance, registration, business structure, contracts, and other business-related legal issues, including the evaluation of third-party service providers. She has authored several published articles, often speaks to various national trade organizations on topics within her areas of expertise and is frequently the quoted authority in financial institution and investment industry publications.

Valorie received her undergraduate degree in international relations from the University of Southern California in 1980, and her Juris Doctor from the University of San Diego School of Law in 1984.

Valorie is a qualified general securities representative (Series 7), general securities principal (Series 24), financial and operations principal (Series 27), and registered options principal (Series 4). She has also completed the interstate securities examination (Series 63).

Amy Beattie, Chief Operating Officer

Amy has more than 30 years of experience in the securities industry, working for companies including Shearson/American Express, Merrill Lynch and Robinson Humphrey. She has served as Vice President of Operations for both a large, national broker-dealer and the broker-dealer division of a large domestic bank.

Amy has high-level and comprehensive experience consulting with new and existing broker-dealers and investment advisors, focusing on areas including regulatory compliance issues, operations, clearing firm services and negotiations, and marketing, trading and registration.

Amy received a Bachelor of Science degree in business administration from Wake Forest University. She is a qualified general securities representative (Series 7), general securities principal (Series 24), registered options principal (Series 4), municipal securities principal (Series 53), and a life insurance agent. Amy has also completed the interstate securities examination (Series 63).
Sorrento Pacific Financial Management

Rick Dahl, Senior Vice President

Rick has been in the financial services industry since 1982. After gaining valuable experience as a registered representative for several years, he has held several executive-level positions during that time, including Vice President of Operations and Chief Compliance Officer.

Rick is a San Diego State University graduate with a B.S. in Finance. In 1989 he earned his Certified Financial Planner designation. He is a qualified general securities representative (Series 7), general securities principal (Series 24), registered options principal (Series 4), municipal securities principal (Series 53), registered investment advisor (Series 66) and life insurance agent. He has also completed the interstate securities examination (Series 63).

Mary Unland, Director Operations

Mary has been in the financial services industry almost 30 years. She has worked in branch offices directly with sales representatives, has held several back office positions and positions as Director of New Accounts, Advisory Services Operations, and Compliance during her tenure at a large, independent broker-dealer.

Mary received her Bachelor of Science degree from the University of Wisconsin-Milwaukee. She is a qualified general securities representative (Series 7), general securities principal (Series 24) and registered investment advisor (Series 65). She has also completed the interstate securities examination (Series 63).