John D. 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.
John D Sorensen Jr, who also goes by John Douglas Sorensen Jr, John Douglas Sorensen, John Sorensen, John D Sorensen, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 9, Series 10, Series 4 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
August 29, 2016 - September 17, 2025
EDWARD JONES
August 29, 2016 - September 17, 2025
EDWARD JONES
March 22, 2012 - August 23, 2016
B. RILEY WEALTH ADVISORS, INC.
September 3, 2010 - April 5, 2011
B. RILEY WEALTH ADVISORS, INC.
August 9, 2010 - August 23, 2016
NATIONAL SECURITIES CORPORATION
January 8, 2009 - August 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
January 8, 2009 - August 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
September 21, 2007 - December 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
August 16, 2007 - December 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2004 - December 20, 2005
JEFFERIES BACHE SECURITIES, LLC
October 29, 1996 - January 1, 2004
PRUDENTIAL EQUITY GROUP, LLC
July 1, 1996 - September 19, 1996
MF GLOBAL INC.
August 12, 1992 - July 1, 1996
INDEX SECURITIES, INC.
October 24, 1988 - June 19, 1992
THE CHICAGO CORPORATION
July 7, 1986 - June 19, 1992
THE CHICAGO CORPORATION
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
