Carrie A. Sorn
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.
Carrie Ann Sorn, who also goes by Carrie Ann Brown, was a registered financial professional .
Carrie is a previously registered financial professional and started their career in finance in 2000. Carrie had worked at 4 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2011 - October 31, 2014
MOUNTAINVIEW SECURITIES, LLC
October 3, 2007 - September 1, 2009
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
January 8, 2004 - September 5, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 11, 2000 - December 31, 2003
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
MOUNTAINVIEW SECURITIES, LLC
CRD#: 7882 / SEC#: , 8-23489
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
