RS
Ronald J. Sorenson
W. H. REAVES & CO.
Jersey City, NJ 07302
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CRD#: 2218479
RS
Professional summary
Ronald James Sorenson, who also goes by Ronald J Sorenson, is a registered financial advisor currently at W. H. REAVES & CO., INC. located in Jersey City, New Jersey.
Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Ronald has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ronald J Sorenson
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald James Sorenson'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®
NoneExperience
Current
October 21, 1997 - Present
W. H. REAVES & CO., INC.
Office #1: 10 Exchange Place 18th Floor, Jersey City, NJ, 07302RIA
CRD#: 3140
Jersey City, NJ
Past
April 9, 1992 - April 22, 2019
W. H. REAVES & CO., INC.
BD
CRD#: 3140
JERSEY CITY, NJ
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".
W. H. REAVES & CO., INC.
REAVES ASSET MANAGEMENT | W. H. REAVES ASSET MANAGEMENT | W. H. REAVES & CO., INC.
CRD#: 3140 / SEC#: 801-13457, 8-22142
RIA
Registered Investment Advisory firm - SEC (10/1/1977 Approved)BD
Terminated by SEC on 04/21/2019
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.Highlighted states indicate IAR registrations
IAR
Alabama(12/2/2003)
IAR
Connecticut(11/28/2003)
IAR
Florida(12/5/2003)
IAR
Georgia(12/19/2003)
IAR
Idaho(11/28/2003)
IAR
Illinois(10/21/1997)
IAR
Nebraska(12/5/2003)
IAR
Pennsylvania(12/1/2003)
IAR
Texas(12/15/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
W. H. REAVES & CO., INC.
REAVES ASSET MANAGEMENT | W. H. REAVES ASSET MANAGEMENT | W. H. REAVES & CO., INC.
CRD#: 3140 / SEC#: 801-13457, 8-22142
RIA
Registered Investment Advisory firm - SEC (10/1/1977 Approved)BD
Terminated by SEC on 04/21/2019
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Contact information
Main Address
10 Exchange Place 18th Floor, Jersey City, NJ, 07302
Mailing Address
Phone number
(201) 332-4596
Established
Delaware since 09/02/1977
Firm type
Corporation
Fiscal year end
December
# of Employees
22
SEC notice filing (21 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARTLETT, JOHN PRENTISS | VICE PRESIDENT | 2248307 |
| CIMINO, LOUIS FRANCISCO | VICE PRESIDENT, CHIEF OPERATING OFFICER, TREASURER | 1596549 |
| FERER, WILLIAM AVRUM | PRESIDENT | 824052 |
| SORENSON, RONALD JAMES | CHAIRMAN | 2218479 |
| PORTER, TIMOTHY OTTAVIANO | VICE PRESIDENT | 2512256 |
| RHAME, JOSEPH BURNS III | CEO | 4676211 |
| PASS, DAVID MARC | VICE PRESIDENT, SECRETARY, CHIEF COMPLIANCE OFFICER, CFO, MUNICIPAL SECURITIES PRINCIPAL | 1041996 |
| WEEKS, BRIAN WALLACE | VICE PRESIDENT | 4679843 |
| WILHELM, ROWLAND OTTO JR | VICE PRESIDENT | 2368027 |
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 4,092,180,109 |
Disclosures
| Regulatory Event | 2 |
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.
