Kim M. Sorenson
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.
Kim Marie Sorenson was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 2006. Kim had worked at 2 firms and has passed the Series 63 and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2011 - February 23, 2012
RICHARDSON GMP (USA) CORP.
July 8, 2010 - May 4, 2011
RICHARDSON GMP (USA) CORP.
July 28, 2006 - December 31, 2008
VENTUM FINANCIAL (US) CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 37
Date: 7/27/2006
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
RICHARDSON GMP (USA) CORP.
CRD#: 104204 / SEC#: , 8-52658
Contact information
Documents
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.
