Jason A. Sohnen
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.
Jason Alan Sohnen, CFP®, who also goes by Jason Alan Sohnen, Jason Sohnen, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2004. Jason had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
May 2, 2018 - July 17, 2018
UNITED CAPITAL FINANCIAL ADVISORS
February 23, 2017 - April 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2017 - April 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2014 - January 6, 2017
STRATEGIC ADVISERS LLC
June 13, 2014 - January 5, 2017
FIDELITY BROKERAGE SERVICES LLC
February 21, 2013 - June 25, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 21, 2013 - June 25, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 6, 2005 - October 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 6, 2005 - October 17, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2004 - May 13, 2005
WADDELL & REED
September 8, 2004 - May 13, 2005
WADDELL & REED
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
