Geri L. Sorg
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.
Geri Lyon Sorg, who also goes by Geri Lyon Donworth, Geri L Graham, Geri Lyon Graham, Geri L. Sorg, Geri Sorg, was a registered financial professional .
Geri is a previously registered financial professional and started their career in finance in 1984. Geri had worked at 10 firms and has passed the Series 63, Series 7 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
Experience
September 23, 2009 - January 28, 2013
LPL FINANCIAL LLC
July 16, 2007 - October 10, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 4, 2006 - June 15, 2007
GUARANTY BROKERAGE SERVICES, INC.
August 21, 2006 - November 1, 2006
WELLS FARGO CLEARING SERVICES, LLC
August 3, 2004 - December 31, 2005
SIGNAL SECURITIES, INC.
August 14, 2002 - August 2, 2004
LEO BROKERAGE, LLC
January 16, 2002 - August 2, 2004
LEO BROKERAGE, LLC
March 28, 2000 - December 31, 2001
WORLD CHOICE SECURITIES, INC.
August 6, 1990 - March 29, 2000
NEW ENGLAND SECURITIES
September 30, 1988 - July 17, 1990
IDS LIFE INSURANCE COMPANY
September 30, 1988 - July 17, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 1984 - October 14, 1987
FIRST USA CAPITAL MARKETS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
