Anthony J. Sorrentino
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.
Anthony Joseph Sorrentino, who also goes by Tony Sorrentino, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1987. Anthony had worked at 2 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2013 - January 23, 2020
HUB INVESTMENT ADVISORS, INC
February 18, 1987 - June 13, 1989
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
HUB INVESTMENT ADVISORS, INC
CRD#: 164600 / SEC#: 801-76898
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
HUB INVESTMENT ADVISORS, INC
CRD#: 164600 / SEC#: 801-76898
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 529 |
| AUM (Assets Under Management) | $ 2,073,694,709 |
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.
