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JS

Joseph D. Sorrentino

CLARION PARTNERS SECURITIES
New York, NY 10010
Some features on this profile are disabled
CRD#: 5103722
JS

Professional summary

Joseph David Sorrentino, who also goes by Joe Sorrentino, Joseph Sorrentino, is a registered financial professional currently at CLARION PARTNERS SECURITIES, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2016. Joseph has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Sorrentino | Joseph Sorrentino

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) - BD

Click below to view Joseph David 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

October 5, 2017 - Present

CLARION PARTNERS SECURITIES, LLC

Office #1: One Madison Avenue 14th Floor, New York, NY 10010
BD
CRD#: 166384
New York, NY
Past

January 20, 2016 - March 14, 2017

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/5/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CLARION PARTNERS SECURITIES, LLC
CLARION PARTNERS SECURITIES, LLC

CRD#: 166384 / SEC#: , 8-69204

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Madison Avenue 14th Floor, New York, NY 10010
Mailing Address
One Madison Avenue 14th Floor, New York, NY 10010
Phone number
(212) 883-2500
Established
Delaware since 10/15/2012
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CLARION PARTNERSMANAGING MEMBER108803
ANDERSON, EVANS KEPHARTCHIEF EXECUTIVE OFFICER7360699
PATTEN, DEIRDRE MARIANCHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL/PRINCIPAL FINANCIAL OFFICER1357509
SILK, BARBARAASSISTANT TREASURER6697872
STABLER, JOSEPH PENNSECRETARY6886387

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.

Company Information

CLARION PARTNERS SECURITIES, LLC

CRD#: 166384New York, NY 10010

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