James G. Sorey
Professional summary
James Galen Sorey, who also goes by James G Sorey, Jamie Sorey, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in Pittsburgh, Pennsylvania.
James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Galen Sorey's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 17, 2024 - Present
NEWEDGE SECURITIES, LLC
Office #1: 1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-4235October 15, 2021 - December 20, 2023
LPL FINANCIAL LLC
March 8, 2021 - November 9, 2021
AVANTAX ADVISORY SERVICES
February 18, 2021 - November 9, 2021
AVANTAX INVESTMENT SERVICES, INC.
July 16, 2015 - March 27, 2017
OSAIC FS, INC.
July 16, 2015 - March 27, 2017
OSAIC FA, INC.
January 24, 2002 - January 27, 2015
LPL FINANCIAL LLC
September 22, 2000 - October 31, 2001
NYLIFE SECURITIES LLC
September 22, 2000 - October 31, 2001
NYLIFE DISTRIBUTORS LLC
February 1, 1999 - August 19, 1999
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 12, 1998 - January 29, 1999
NICHOLAS-APPLEGATE SECURITIES LLC
November 6, 1995 - September 3, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/17/2024)
Exams
Series 7TO
Date: 2/17/2021
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
Red Flags
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