Caroline R. Sorokos
Professional summary
Caroline Rainey Sorokos is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Virginia Beach, Virginia and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.
Caroline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Caroline has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Caroline Rainey Sorokos's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2022 - Present
MISSIONSQUARE RETIREMENT
February 14, 2022 - Present
MISSIONSQUARE INVESTMENT SERVICES
Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240September 21, 2016 - October 13, 2021
TRUIST ADVISORY SERVICES, INC.
April 24, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
April 24, 2015 - October 13, 2021
TRUIST INVESTMENT SERVICES, INC.
September 28, 2012 - March 20, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 27, 2012 - March 20, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 30, 2009 - September 11, 2012
TRUIST INVESTMENT SERVICES, INC.
July 28, 2008 - September 11, 2012
TRUIST INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/3/2023)
(4/4/2023)
(4/4/2023)
(4/3/2023)
(4/12/2023)
(5/10/2023)
(9/11/2025)
(6/14/2023)
(4/3/2023)
(4/5/2023)
(4/3/2023)
(4/19/2023)
(4/4/2023)
(4/5/2023)
(4/4/2023)
(4/3/2023)
(4/5/2023)
(4/4/2023)
(4/13/2023)
(4/13/2023)
(4/4/2023)
(2/14/2022)
(2/14/2022)
(4/14/2023)
Exams
FINRA
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
Red Flags
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