HS
Heath W. Sorenson
ASSOCIATED INVESTMENT SERVICES
ROCKFORD, IL 61103
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CRD#: 4528655
HS
Professional summary
Heath William Sorenson, CFP®, who also goes by Heath W. Sorenson, is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in Rockford, Illinois.
Heath is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Heath has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heath W. Sorenson
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) Name of Business: Midland States Bank Address: 1201 Network Centre Dr, Effingham, IL, 62401-4677, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 05/01/2010 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Chief Operating Officer of the Wealth Management division. Responsibilities include operations, technology, compliance and management of personal trust line of business. (2) Name of Business: Midland Trust Company Address: 1201 Network Centre Dr, Effingham, IL, 62401-4677, United States Activity Type: Bank or Credit Union Associate Position/Title: Officer - President, Director Investment Related: Yes Start Date: 11/01/2017 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: President, executive officer, and member of board of directors of Midland Trust Company which is wholly owned subsidiary of Midland States Bank. Responsible for overseeing all business operations include sales and service. Business is mostly personal trust and estate administration. (3) Name of Business: Midland Wealth Management Address: 1201 Network Centre Dr, Effingham, IL, 62401-4677, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/01/2010 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Chief Operating Officer of wealth management division. Responsibilities include overseeing personal trust business, operations, technology, and compliance. (4) Midland Wealth Advisors LLC; Manager of the LLC and its COO; provide business mgmt and leadership; oversee strategy execution, operations, compliance, risk management and technology; I do not maintain my own book of client accounts (5) LaSalle St Securities, LLC; Investment-related; 1201 Network Centre Drive, Effingham, IL, 62401; 09/2023; Registered Representative; Work with clients for investment services.
CRS (Client Relationship Summary) - RIA
Click below to view Heath William Sorenson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heath William Sorenson'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®
CFP®
Start date: 2015
Experience
Current
March 11, 2025 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 612 N Main St, Rockford, IL 61103RIA
BD
CRD#: 1464
ROCKFORD, IL
Current
March 11, 2025 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 5353 Wayzata Blvd., St. Louis Park, MN 55416RIA
BD
CRD#: 1464
St. Louis Park, MN
Past
September 26, 2023 - December 31, 2024
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
Rockford, IL
Past
July 27, 2023 - January 10, 2025
MIDLAND WEALTH MANAGEMENT
RIA
CRD#: 324997
EFFINGHAM, IL
Past
November 29, 2022 - April 25, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
EFFINGHAM, IL
Past
September 8, 2022 - April 25, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Effingham, IL
Past
June 20, 2017 - October 29, 2021
MIDLAND FINANCIAL ADVISORS, INC.
RIA
CRD#: 149499
DELAFIELD, WI
Past
January 2, 2015 - June 7, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
ROCKFORD, IL
Past
January 13, 2012 - June 7, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ROCKFORD, IL
Past
June 14, 2002 - May 19, 2010
AMCORE INVESTMENT SERVICES, INC
BD
CRD#: 27708
ROCKFORD, IL
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".
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.Highlighted states indicate IAR registrations
IAR
Illinois(3/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
433 Main Street, Green Bay, WI 54301-5114
Mailing Address
P.o. Box 640, Green Bay, WI 54305-0640
Phone number
(800) 595-7722
Established
Wisconsin since 03/23/1923
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,050 |
| AUM (Assets Under Management) | $ 1,000,633,569 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 | ||
| 10/19/2022 |
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.
