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ES

Eric P. Sorenson

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CRD#: 5289732
ES
Eric P Sorenson

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.

Eric P Sorenson was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 2007. Eric had worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

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.
FRONTIER ENTERTAINMENT LLC, 1463 PAUGER ST., NEW ORLEANS, 337-230-2578, LITERARY ARTS - I WROTE A BOOK AND WANT IT PUBLISHED, NO CLIENT INVOLVEMENT, PRESIDENT, OWNER - 100%, DUTIES - MARKETING BOOK, NONE - AFTER NORMAL BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 10, 2022 - August 7, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
NEW ORLEANS, LA
Past

August 10, 2022 - August 7, 2026

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
NEW ORLEANS, LA
Past

February 7, 2013 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA
CRD#: 40637
NEW ORLEANS, LA
Past

February 7, 2013 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

BD
CRD#: 40637
NEW ORLEANS, LA
Past

January 24, 2011 - July 3, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
LAFAYETTE, LA
Past

March 27, 2007 - July 3, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
LAFAYETTE, LA

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/9/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/3/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/26/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/22/2015
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/9/2013
General Securities Principal Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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