Linda M. Sorenson
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.
Linda Marie Sorenson, who also goes by Linda Marie Nell, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1988. Linda had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2018 - March 1, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 27, 2018 - March 1, 2019
RAYMOND JAMES & ASSOCIATES, INC.
January 29, 2014 - December 31, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
January 29, 2014 - April 26, 2016
ALLSPRING FUNDS DISTRIBUTOR, LLC
October 28, 1999 - November 2, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 21, 1989 - October 8, 2012
ROBERT W. BAIRD & CO. INCORPORATED
November 17, 1989 - October 8, 2012
ROBERT W. BAIRD & CO. INCORPORATED
August 11, 1988 - February 21, 1989
MML INVESTORS SERVICES, LLC
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
Series 8
Date: 4/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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