JS
John L. Sorger
MAREX CAPITAL MARKETS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 2806219
JS
Professional summary
John Lawrence Sorger, who also goes by John L Sorger, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Red Bank, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John L Sorger
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) - BD
Click below to view John Lawrence Sorger'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
February 27, 2015 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 322 Nj-35 2nd Floor, Red Bank, NJ 07701BD
CRD#: 161014
Red Bank, NJ
Past
March 22, 2010 - January 3, 2012
INTERACTIVE BROKERS LLC
BD
CRD#: 36418
GREENWICH, CT
Past
March 22, 2010 - December 31, 2014
INTERACTIVE BROKERS CORP.
BD
CRD#: 117942
JERSEY CITY, NJ
Past
June 1, 2009 - March 18, 2010
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
July 1, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/28/2019)
RR
Arizona(2/27/2015)
RR
Arkansas(2/27/2015)
RR
California(2/27/2015)
RR
Colorado(2/27/2015)
RR
Connecticut(2/27/2015)
RR
Delaware(2/27/2015)
RR
Florida(2/27/2015)
RR
Georgia(2/27/2015)
RR
Illinois(2/27/2015)
RR
Iowa(3/28/2019)
RR
Kansas(2/27/2015)
RR
Maryland(2/27/2015)
RR
Massachusetts(2/27/2015)
RR
Michigan(8/11/2015)
RR
Minnesota(2/27/2015)
RR
Missouri(2/27/2015)
RR
Nevada(2/27/2015)
RR
New Jersey(2/27/2015)
RR
New Mexico(3/28/2019)
RR
New York(2/27/2015)
RR
North Carolina(3/2/2015)
RR
Ohio(8/11/2015)
RR
Oklahoma(2/27/2015)
RR
Oregon(2/27/2015)
RR
Pennsylvania(2/27/2015)
RR
Texas(2/27/2015)
RR
Utah(2/27/2015)
RR
Vermont(2/27/2015)
RR
Virginia(8/11/2015)
RR
Washington(2/27/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/15/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MC
MAREX CAPITAL MARKETS INC.
E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
140 East 45th Street 10th Floor, New York, NY 10017
Mailing Address
140 East 45th Street 10th Floor, New York, NY 10017
Phone number
(212) 618-2800
Established
New York since 01/10/1952
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
