Richard B. 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.
Richard Bowers Sorensen, who also goes by Richard Bowerg Sorensen, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2008 - November 24, 2020
PENCE WEALTH MANAGEMENT, INC.
September 12, 2006 - March 10, 2015
SUMMIT FINANCIAL CONSULTANTS, INC.
December 10, 2001 - November 20, 2020
LPL FINANCIAL LLC
November 20, 2001 - November 20, 2020
LPL FINANCIAL LLC
August 8, 2000 - October 18, 2001
WS GRIFFITH SECURITIES, INC.
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
PENCE WEALTH MANAGEMENT, INC.
CRD#: 146599 / SEC#:
Contact information
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.
