Joseph E. Sorok
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.
Joseph Edward Sorok, who also goes by Joe Sorok, Joseph Edward Sorok, Joseph Sorok, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2024 - April 21, 2025
MERCER GLOBAL ADVISORS INC.
February 17, 2022 - January 16, 2024
FIDELITY BROKERAGE SERVICES LLC
June 1, 2011 - December 31, 2020
TD AMERITRADE, INC.
June 1, 2011 - January 11, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 27, 2011 - December 31, 2020
TD AMERITRADE, INC.
August 18, 2010 - April 14, 2011
HARRISDIRECT LLC
January 17, 2008 - April 14, 2011
E*TRADE SECURITIES LLC
June 18, 2007 - January 17, 2008
CHASE INVESTMENT SERVICES CORP.
June 18, 2007 - January 17, 2008
CHASE INVESTMENT SERVICES CORP.
January 9, 2007 - January 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 21, 2000 - December 4, 2006
TD AMERITRADE, INC.
March 16, 1998 - June 5, 2000
BNY MELLON SECURITIES CORPORATION
November 19, 1996 - February 5, 1997
TEXAS CAPITAL SECURITIES, INC.
August 20, 1996 - December 16, 1996
FIRST NATIONAL EQUITY, CORP.
April 26, 1996 - October 11, 1996
T.L. GROUP, INC.
November 14, 1995 - March 25, 1996
ROYCE INVESTMENT GROUP, INC.
Primary Firm SEC Registration
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
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
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 99,044 |
| AUM (Assets Under Management) | $ 60,256,270,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 07/31/2024 | ||
| 09/28/2023 | ||
| 12/07/2022 |
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.
