MS
Michael J. Soriero
SPC
Toms River, NJ 08753
Some features on this profile are disabled
CRD#: 1694301
MS
Professional summary
Michael John Soriero, CFP® is a registered financial advisor currently at SPC located in Toms River, New Jersey and SIGMA FINANCIAL CORPORATION located in Toms River, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Estate Planning
Insurance Planning
Investment Planning
Comprehensive Financial Planni...
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
SENIOR PLANNING ASSOCIATES INC; SALE OF VARIOUS INSURANCE PRODUCTS THROUGH VARIOUS INSURANCE COMPANIES.
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Soriero's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2003
Experience
Current
March 25, 2008 - Present
SPC
Office #1: 29 Hadley Ave, Toms River, NJ 08753RIA
CRD#: 110692
Toms River, NJ
Current
March 25, 2008 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 29 Hadley Ave, Toms River, NJ 08753BD
CRD#: 14303
Toms River, NJ
Past
June 21, 2002 - March 24, 2008
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
TOME RIVER, NJ
Past
June 3, 1999 - March 24, 2008
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
TOME RIVER, NJ
Past
January 26, 1996 - May 29, 1999
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
January 1, 1996 - February 6, 1996
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
March 5, 1991 - January 1, 1996
OLD SLIP CAPITAL MANAGEMENT, INC.
BD
CRD#: 7360
NEW YORK, NY
Past
May 29, 1990 - December 31, 1990
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
January 16, 1990 - April 4, 1990
NETWORK 1 FINANCIAL SECURITIES INC.
BD
CRD#: 13577
RED BANK, NJ
Past
April 5, 1989 - September 13, 1989
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
September 19, 1988 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
BD
CRD#: 14047
Past
October 16, 1987 - September 27, 1988
J. T. MORAN & CO., INC.
BD
CRD#: 15655
Past
July 21, 1987 - September 1, 1987
PHILIPS, APPEL & WALDEN, INC.
BD
CRD#: 659
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New Jersey(3/25/2008)
IAR
New Jersey(3/25/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Company Information
SPC
CRD#: 110692Toms River, NJ 08753TRUST BUT VERIFY
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Contact information
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