Gregory J. Sorce
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gregory Joseph Sorce, CFP®, who also goes by Gregory J Sorce, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1982. Gregory had worked at 8 firms and has passed the Series 65, Series 63, Series 22TO, Series 7TO, Series 6TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
January 2, 2009 - January 21, 2021
PURSHE KAPLAN STERLING INVESTMENTS
September 27, 2005 - January 5, 2009
SECURITIES AMERICA, INC.
August 8, 2001 - October 5, 2005
CAP PRO BROKERAGE SERVICES, INC.
May 25, 2001 - September 5, 2025
HBKS WEALTH ADVISORS
January 6, 1995 - August 10, 2001
OSAIC WEALTH, INC.
October 26, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
October 26, 1982 - January 10, 1995
IDS LIFE INSURANCE COMPANY
October 26, 1982 - January 10, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 22TO
Date: 12/22/2022
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/22/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
