Lawrence V. Sorace
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.
Lawrence V Sorace, who also goes by Lawrence VIncent Sorace, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 2005. Lawrence had worked at 7 firms and has passed the Series 66, SIE 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
March 17, 2016 - February 22, 2019
AMERITAS INVESTMENT COMPANY, LLC
January 15, 2016 - February 22, 2019
AMERITAS INVESTMENT COMPANY, LLC
October 22, 2013 - September 16, 2015
PNC WEALTH MANAGEMENT LLC
October 22, 2013 - September 16, 2015
PNC WEALTH MANAGEMENT LLC
December 20, 2010 - October 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2010 - October 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 2008 - December 9, 2010
HORNOR, TOWNSEND & KENT, LLC
October 15, 2008 - December 9, 2010
HORNOR, TOWNSEND & KENT, LLC
August 23, 2005 - December 22, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 27, 2005 - December 22, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 8, 2005 - July 15, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
June 24, 2005 - July 15, 2005
IDS LIFE INSURANCE COMPANY
June 24, 2005 - July 15, 2005
AMERIPRISE FINANCIAL 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
Current Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 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.
