SS
Steven Soranno
CAPITAL ADVISORS
Tulsa, OK 74114
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CRD#: 2643540
SS
Professional summary
Steven Soranno, who also goes by Steven V Soranno, Steven VIto Soranno, is a registered financial advisor currently at CAPITAL ADVISORS, INC. located in Tulsa, Oklahoma.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Steven has worked at 9 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 16, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven V Soranno | Steven Vito Soranno
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.
1). NAME OF OBA: JACK WELCH MANAGEMENT INSTITUTE ADDRESS OF OBA: WASHINGTON, DC NATURE: TEACHING INVESTMENT RELATED: NO RELATIONSHIP WITH OBA: SENIOR ASSOCIATE PROFESSOR DUTIES (BRIEF DESCRIPTION): TEACH CAPSTONE (LEADERSHIP, ORGANIZATIONAL BEHAVIOR, EXECUTIVE MANAGEMENT) AND ECONOMICS START DATE (MM/DD/YYYY): 09/01/2019 APPROX. NUMBER OF HOURS/MONTH: 9 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 2). NAME OF OBA: AMERICAN UNIVERSITY KOGOD SCHOOL OF BUSINESS ADDRESS OF OBA: 4400 MASSACHUSETTS AVENUE, WASHINGTON, DC, 20016 NATURE: SCHOOL OF BUSINESS INVESTMENT RELATED: NO RELATIONSHIP WITH OBA: TEACHER DUTIES (BRIEF DESCRIPTION): TEACH ECONOMICS AND FINANCE PORTFOLIO MANAGEMENT START DATE (MM/DD/YYYY): 06/01/2014 APPROX. NUMBER OF HOURS/MONTH: 15 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 3). NAME OF OBA: CATHOLIC CHARITIES OF EASTERN OKLAHOMA ADDRESS OF OBA: 12300 E 91ST ST. BROKEN ARROW, OK NATURE: NON-PROFIT CHURCH INVESTMENT RELATED: YES RELATIONSHIP WITH OBA: MEMBER INVESTMENT COMMITTEE DUTIES: SERVES WITH OTHER COMMITTEE MEMBERS TO SELECT MUTUAL FUND INVESTMENTS FOR THE BENEFIT OF THE CHURCH CONGREGATION START DATE: 10/16/2019 APPROX. NUMBER OF HOURS/MONTH: 3 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 4). NAME OF OBA: DIOCESE OF OKLAHOMA ADDRESS OF OBA: 12300 E 91ST ST. BROKEN ARROW, OK NATURE: NON-PROFIT CHURCH INVESTMENT RELATED: YES RELATIONSHIP WITH OBA: MEMBER INVESTMENT COMMITTEE DUTIES: SERVES WITH OTHER COMMITTEE MEMBERS TO SELECT MUTUAL FUND INVESTMENTS FOR THE BENEFIT OF THE CHURCH CONGREGATION START DATE (MM/DD/YYYY): 03/01/2022 APPROX. NUMBER OF HOURS/MONTH: 3 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0 5). NAME OF OBA: PARISH OF CHRIST THE KING ADDRESS OF OBA: 1520 S. ROCKFORD AVE. TULSA, OK 74120 NATURE: NON-PROFIT CHURCH INVESTMENT RELATED: YES RELATIONSHIP WITH OBA: MEMBER INVESTMENT COMMITTEE DUTIES: SERVES WITH OTHER COMMITTEE MEMBERS TO SELECT MUTUAL FUND INVESTMENTS FOR THE BENEFIT OF THE CHURCH CONGREGATION START DATE: 09/14/2019 APPROX. NUMBER OF HOURS/MONTH: 5 APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Steven Soranno'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
May 2, 2017 - Present
CAPITAL ADVISORS, INC.
Office #1: 2222 South Utica Place Suite 300, Tulsa, OK 74114RIA
CRD#: 104643
Tulsa, OK
Past
February 14, 2017 - April 4, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
Past
January 3, 2017 - April 4, 2017
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
BD
CRD#: 26506
Minneapolis, MN
Past
October 20, 2014 - December 31, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
TROY, MI
Past
July 10, 2014 - January 18, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
TROY, MI
Past
October 6, 2011 - June 13, 2014
CALVERT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 37527
BETHESDA, MD
Past
June 22, 2010 - October 6, 2010
WESTROCK ADVISORS, INC.
BD
CRD#: 114338
NEW YORK, NY
Past
April 26, 2010 - May 26, 2010
ADVANCED EQUITIES, INC.
RIA
CRD#: 35545
NEW YORK, NY
Past
April 6, 2010 - May 26, 2010
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
NEW YORK, NY
Past
June 11, 1998 - January 25, 2005
SWISS AMERICAN SECURITIES INC.
BD
CRD#: 7973
NEW YORK, NY
Past
May 2, 1996 - April 23, 1998
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
August 14, 1995 - February 10, 1996
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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".
CA
CAPITAL ADVISORS, INC.
CAPITAL ADVISORS INC | CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
RIA
Registered Investment Advisory firm - (9/18/1978 Approved)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
Oklahoma(5/2/2017)
IAR
Texas(11/11/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CA
CAPITAL ADVISORS, INC.
CAPITAL ADVISORS INC | CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
RIA
Registered Investment Advisory firm - (9/18/1978 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2222 South Utica Place Suite 300, Tulsa, OK 74114
Mailing Address
Phone number
(866) 230-5879
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,297 |
| AUM (Assets Under Management) | $ 6,146,880,645 |
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.
Company Information
CAPITAL ADVISORS, INC.
CRD#: 104643Tulsa, OK 74114TRUST BUT VERIFY
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