Jeremy J. Sorenson

ASPEN PRIVATE ADVISORS

Sioux Falls, SD 57108

Some features on this profile are disabled

CRD#: 4658195

Professional summary

Jeremy James Sorenson, CFP®, who also goes by Jeremy J Sorenson, is a registered financial advisor currently at ASPEN PRIVATE ADVISORS, LLC located in Sioux Falls, South Dakota.

Jeremy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Jeremy has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeremy J 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeremy James Sorenson's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2013

Experience

Current

August 20, 2018 - Present

ASPEN PRIVATE ADVISORS, LLC

Office #1: 5201 South Western Avenue Suite 103, Sioux Falls, SD 57108

RIA

CRD#: 297639

Sioux Falls, SD

Past

May 12, 2015 - October 2, 2018

LEVEL FOUR ADVISORY SERVICES

RIA

CRD#: 134086

SIOUX FALLS, SD

Past

May 7, 2015 - August 23, 2019

LPL FINANCIAL LLC

CRD#: 6413

SIOUX FALLS, SD

Past

July 13, 2012 - May 8, 2015

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SIOUX FALLS, SD

Past

June 20, 2012 - May 8, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SIOUX FALLS, SD

Past

June 18, 2003 - May 12, 2004

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

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".

ASPEN PRIVATE ADVISORS, LLC

CRD#: 297639 / SEC#: 801-113814

RIA

Registered Investment Advisory firm - (8/13/2018 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.

Highlighted states indicate IAR registrations

IAR

South Dakota
(8/20/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/9/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/2012

General Securities Representative Examination

Current Firm

ASPEN PRIVATE ADVISORS, LLC

CRD#: 297639 / SEC#: 801-113814

RIA

Registered Investment Advisory firm - (8/13/2018 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5201 South Western Avenue Suite 103, Sioux Falls, SD 57108

Mailing Address

Phone number

(605) 951-9620

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (3/20/2025)

FORM ADV PART 2A - FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	458
AUM (Assets Under Management)	$ 176,690,004

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.

Similar Advisors

Theodore Jackson

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tuscaloosa, AL

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST LOUIS PARK, MN

Sean Merlonghi

DAKOTA WEALTH, LLC

IAR

LEWES, DE

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeremy J. Sorenson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeremy James Sorenson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEVEL FOUR ADVISORY SERVICES

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

ASPEN PRIVATE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2012

SIE

Date: 10/1/2018

Series 7

Date: 6/19/2012

Current Firm

ASPEN PRIVATE ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASPEN PRIVATE ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors