Harold T. Sorensen
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.
Harold Thomas Sorensen JR, who also goes by H Thomas Sorenson, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1984. Harold had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 1997 - November 12, 1997
AMUNI FINANCIAL, INC.
July 10, 1997 - February 25, 1998
PMK SECURITIES & RESEARCH, INC.
May 10, 1994 - October 16, 1995
JWGENESIS SECURITIES, INC.
January 3, 1994 - March 8, 1994
JWGENESIS SECURITIES, INC.
November 18, 1993 - January 3, 1994
JW GENESIS CLEARING CORP.
January 11, 1993 - September 24, 1993
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1990 - October 19, 1992
J. B. HANAUER & CO.
April 5, 1989 - June 26, 1989
GREAT AMERICAN FINANCIAL NETWORK, INC.
February 24, 1988 - February 2, 1989
CITIGROUP GLOBAL MARKETS INC.
May 6, 1987 - February 23, 1988
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
January 25, 1984 - March 22, 1985
BUTCHER & SINGER INC.
Primary Firm SEC Registration
AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
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
Current Firm
AMUNI FINANCIAL, INC.
CRD#: 8365 / SEC#: 801-120481, 8-25338
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 274 |
| AUM (Assets Under Management) | $ 159,700,000 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 06/13/2023 |
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.
