Brian Sottak, portrait

Brian Sottak

Partner and Senior Managing Director at Mission Wealth

Investment adviser representative in Santa Barbara, CA

From the SEC’s public record of this individual, checked on 17 September 2026.

Brian Sottak is a partner / senior managing director of Mission Wealth Management, LP, a Santa Barbara-based SEC-registered investment adviser managing $17.00B. Brian has been registered through the firm since 11 October 2018, with 7 years in the industry across 1 firm, holds adviser registrations in California.

7
Years of IAPD experience
7
Years at the firm
Mission Wealth Management
1
Adviser firms on record
1
State registrations
3
Exams passed

Counts are from the SEC record as checked on 17 September 2026. Years are measured to that date.

Role at Mission Wealth#

Title on Schedule A
Partner / Senior Managing Director
Title the firm uses
Partner and Senior Managing Director
Control
Schedule A reports Brian Sottak as a control person.
Ownership
Schedule A reports an under-5% ownership band.
Tenure
Schedule A reports this title since January 2020.

The firm

Mission Wealth Management, LP$17.00B regulatory AUM · 135 advisory staff · 116 officesFirm profile

Title and ownership as reported on Schedules A and B of the firm's Form ADV. Ownership percentages are the SEC's reporting bands, not exact figures. View Schedule A in the filing

Career on record#

  1. MISSION WEALTH MANAGEMENT, LP11 October 2018 to present
    Santa Barbara, CA · 8 years · adviser representative only · firm CRD 113057

Investment-adviser employment history in the IAPD record, newest first. The experience figure uses IAPD's calculation date of 10 October 2018, which may differ from the earliest registration below. View the IAPD record

Registrations and exams#

California11 October 2018
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6325 September 2009
Name
Uniform Securities Agent State Law Examination
Series 559 October 2009
Name
Limited Representative-Equity Trader Exam
Series 714 August 2009
Name
General Securities Representative Examination

State adviser registrations currently approved, and the qualifying examinations on record. View the IAPD record

Regulatory record#

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one.

Where to check this individual's complete record, including any disciplinary history. View the IAPD record

Background#

Mission Wealth's team page states that Brian leads the firm's Southwest regional teams, covering Santa Barbara, Los Angeles, Irvine and San Diego in California and Scottsdale and Tucson in Arizona, and that he serves on the firm's Board of Directors, Leadership Team and Investment Committee, where the page says he specializes in customized portfolio management and alternative investments. The page states that he has two decades of investment management experience across portfolio management, planning, trading, research and risk management, that he previously worked at investment firms in San Francisco, Silicon Valley and London, and that he relocated to Santa Barbara in 2016 to join the firm. Mission Wealth, team page

Education

  • B.S. in Business Administration, concentration in Financial Management, California Polytechnic State University, San Luis ObispoMission Wealth, team page

Credentials and memberships

Background statements are attributed to the named source. Firm biographies are not regulatory records.

Common questions#

Is Brian Sottak a broker or an investment adviser?

An investment adviser representative only. His record shows adviser-only registration through Mission Wealth Management, LP and no current FINRA broker registration, although he passed the Series 7 and the Series 55 in 2009.

Source: IAPD individual record, Registrations and Exams

Where is Brian Sottak registered?

As an investment adviser representative in California, approved since October 2018. That is the only state registration his record shows, and it is not marked resident.

Source: IAPD individual record, Registrations

Does Brian Sottak own part of Mission Wealth?

Schedule A reports Brian Sottak as a control person. Schedule A reports an under-5% ownership band. Schedule A reports this title since January 2020.

Source: Form ADV Part 1A, Schedules A and B

Where did Brian Sottak work before Mission Wealth?

His SEC record shows no registration through another firm: Mission Wealth Management, LP is the only employment on the record, beginning in October 2018, and IAPD gives October 2018 as the start of his time in the industry. Mission Wealth's team page separately states that he worked at investment firms in San Francisco, Silicon Valley and London before joining, which would predate SEC adviser registration records.

Source: IAPD individual record, Employment History; Mission Wealth team page

Answered from the records above.

Leadership at Mission Wealth#

The other officers and owners named on the firm's Schedule A.

Sources

  1. IAPD individual record, CRD 5701635. Employment history, registrations and examinations.
  2. Form ADV Part 1A, Schedules A and B of Mission Wealth Management, LP, filed 15 September 2026. Title, control and ownership bands.
  3. Mission Wealth team page. Biography, education, credentials, awards and portrait.

Retrieved 17 September 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Simple Money is not affiliated with Brian Sottak or Mission Wealth Management, LP and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.

Simple Money Advisors LLC is a California-registered investment adviser. This page is not investment, tax, or legal advice and is not an offer of advisory services. Verify this individual's current record at adviserinfo.sec.gov and the firm's at its IAPD record before engaging an adviser. The portrait is reproduced from the firm’s website for identification.