CS
Charles E. Sorensen
DIVERSIFY ADVISORY SERVICES
Logan, UT 84321
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CRD#: 3255618
CS
Professional summary
Charles Elmer Sorensen II, who also goes by Chuck E Sorenson, Chuck E Sorensen, is a registered financial advisor currently at DIVERSIFY ADVISORY SERVICES, LLC located in Logan, Utah and DFPG INVESTMENTS, LLC located in Sandy, Utah.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chuck E Sorenson | Chuck E Sorensen
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) SORENSEN FINANCIAL, INC.; NON-INVESTMENT RELATED; LOGAN, UTAH; PERSONAL S-CORP; PRESIDENT; 10/2004; 10% DURING BUSINESS HOURS; PERSONAL S-CORP USED FOR MANAGING MY BUSINESS AND PAYING EXPENSES. ANNUAL MEETINGS, BOOKKEEPING, DIRECTING BUSINESS OPERATIONS. 2) DBA: LOCUM GROUP BENEFITS (PROVIDED BY SUMMIT GROUP WEALTH ADVISORS); INVESTMENT RELATED; LOGAN, UT; INSURANCE; AGENT/REP/IAR; 02/2017; 80% DURING BUSINESS HOURS; SOLICITING INSURANCE & RETIREMENT ACCOUNTS FROM PHYSICIANS. SALES & SERVICE OF CLIENT'S INSURANCE AND TD AMERITRADE SECURITY ACCOUNTS.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Elmer Sorensen II'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
September 15, 2023 - Present
DIVERSIFY ADVISORY SERVICES, LLC
Office #1: 88 W. Center St. Suite 13, Logan, UT 84321RIA
CRD#: 326060
Logan, UT
Current
July 3, 2024 - Present
DFPG INVESTMENTS, LLC
Office #1: 9017 S Riverside Drive Suite 210, Sandy, UT 84070BD
CRD#: 155576
Sandy, UT
Past
February 22, 2021 - February 9, 2024
DFPG INVESTMENTS, LLC
RIA
CRD#: 155576
Logan, UT
Past
February 18, 2021 - November 10, 2022
DFPG INVESTMENTS, LLC
BD
CRD#: 155576
Logan, UT
Past
June 15, 2018 - February 18, 2021
ARS INVESTMENT ADVISORS, INC.
RIA
CRD#: 293750
North Logan, UT
Past
May 19, 2014 - April 5, 2019
ALLEGIS INVESTMENT SERVICES, LLC
BD
CRD#: 168557
North Logan, UT
Past
May 4, 2012 - June 20, 2018
ALLEGIS INVESTMENT ADVISORS, LLC
RIA
CRD#: 157314
LOGAN, UT
Past
July 29, 2010 - May 7, 2012
SIGNATOR FINANCIAL SERVICES, INC.
RIA
CRD#: 19061
NORTH LOGAN, UT
Past
July 29, 2010 - June 30, 2014
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
NORTH LOGAN, UT
Past
October 3, 2007 - July 30, 2010
INSPHERE SECURITIES, INC.
RIA
CRD#: 136433
NORTH LOGAN, UT
Past
July 23, 2007 - July 30, 2010
INSPHERE SECURITIES, INC.
BD
CRD#: 136433
NORTH LOGAN, UT
Past
June 14, 2006 - October 3, 2007
ALLEGIS ADVISORS, INC.
RIA
CRD#: 131242
SALT LAKE CITY, UT
Past
March 11, 2005 - June 5, 2006
EQUITY SERVICES, INC.
RIA
CRD#: 265
LOGAN, UT
Past
March 6, 2003 - August 9, 2007
EQUITY SERVICES, INC.
BD
CRD#: 265
LOGAN, UT
Past
July 26, 1999 - January 31, 2002
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
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".
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
Registered Investment Advisory firm - (8/31/2023 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.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
Arizona(7/9/2024)
IAR
Louisiana(2/10/2025)
IAR
Texas(2/7/2025)
IAR
Utah(9/15/2023)
RR
Utah(7/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/8/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DIVERSIFY ADVISORY SERVICES, LLC
ADVANCED WEALTH STRATEGIES GROUP | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SPARK FINANCIAL SERVICE | SERRATELLI FINANCIAL GROUP | ROCKY MOUNTAIN WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PATTERSON FINANCIAL SOLUTIONS | PARKVIEW WEALTH ADVISORS | NUCLEUS FINANCIAL GROUP | MARCH FORWARD | LONGHORN FINANCIAL | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | INVENTA WEALTH ADVISORS | INPAC WEALTH SOLUTIONS | ICONA WEALTH | HARDING FINANCIAL & INSURANCE | GROVE WEALTH ADVISORS | GRIFFIN WEALTH PARTNERS | GRADY CAPITAL GROUP | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC. | EVERGREEN ADVISOR GROUP | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES, LLC | DIVERSIFY ADVISOR NETWORK | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | CAPATA FINANCIAL | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BOSTON WEALTH ADVISOR GROUP | ASHLAND PACIFIC | ANIMAS CAPITAL MANAGEMENT LLC
CRD#: 326060 / SEC#: 801-128675
RIA
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Contact information
Main Address
9017 S Riverside Dr. Suite 210, Sandy, UT 84070
Mailing Address
Phone number
(801) 890-7577
Established
Firm type
Fiscal year end
# of Employees
171
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,318 |
| AUM (Assets Under Management) | $ 3,206,698,268 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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
DIVERSIFY ADVISORY SERVICES, LLC
CRD#: 326060Logan, UT 84321TRUST BUT VERIFY
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