David M. Sorrentino

N.N.A.I.A

Syosset, NY 11791

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CRD#: 4710832

Professional summary

David M Sorrentino is a registered financial advisor currently at N.N.A.I.A located in Syosset, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. David has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 David M Sorrentino'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®

None

Experience

Current

July 26, 2019 - Present

N.N.A.I.A

Office #1: 6900 Jericho Turnpike Suite 300, Syosset, NY 11791

RIA

CRD#: 114164

Syosset, NY

Past

November 30, 2015 - December 11, 2017

COLONY PARK FINANCIAL SERVICES LLC.

RIA

CRD#: 41534

Syosset, NY

Past

November 23, 2015 - December 11, 2017

SANDLAPPER SECURITIES, LLC

CRD#: 137906

GREENVILLE, SC

Past

October 19, 2010 - July 16, 2015

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 149124

RALEIGH, NC

Past

October 8, 2010 - December 31, 2012

CIC ADVISERS, LLC

RIA

CRD#: 130735

RALEIGH, NC

Past

September 7, 2010 - July 16, 2015

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

SYOSSET, NY

Past

July 20, 2007 - September 16, 2010

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

WOODBURY, NY

Past

February 11, 2005 - September 16, 2010

PARK AVENUE SECURITIES LLC

CRD#: 46173

WOODBURY, NY

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

New Jersey
(7/26/2019)

IAR

New York
(6/13/2021)

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: 6/7/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/5/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/2005

General Securities Representative Examination

Current Firm

N.N.A.I.A

N.N.A. INVESTMENT ADVISORS, INC. | N.N.A.I.A

CRD#: 114164 / SEC#:

California

Registered Investment Advisory firm - (11/30/2013 Terminated)

Connecticut

Registered Investment Advisory firm - (9/9/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (6/16/2006 Approved)

New York

Registered Investment Advisory firm - (8/22/2002 Approved)

Ohio

Registered Investment Advisory firm - (8/16/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (8/14/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6900 Jericho Turnpike Suite 300, Syosset, NY 11791

Mailing Address

Phone number

(516) 629-9045

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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David M. Sorrentino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David M Sorrentino's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLONY PARK FINANCIAL SERVICES LLC.

SANDLAPPER SECURITIES, LLC

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CIC ADVISERS, LLC

CAPITAL INVESTMENT GROUP, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/7/2006

Series 63

Date: 4/5/2005

SIE

Date: 12/11/2017

Series 7

Date: 2/10/2005

Current Firm

N.N.A.I.A

Contact information

Documents

Red Flags

Company Information

N.N.A.I.A

TRUST BUT VERIFY

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