RS
Robert E. Sorensen
VALIC FINANCIAL ADVISORS
Chico, CA 95973
Some features on this profile are disabled
CRD#: 5910732
RS
Professional summary
Robert Elias Sorensen, who also goes by Robby Sorensen, Robert E Sorensen, Rob E Soresen, Robert Elias Sorensen, is a registered financial advisor currently at VALIC FINANCIAL ADVISORS, INC. located in Chico, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robby Sorensen | Robert E Sorensen | Rob E Soresen | Robert Elias Sorensen
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.
AGIA POSITION: Agent NATURE: Non Securities Insurance Products INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 07/24/2023 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Appointed as agent to sell Non-Securities Insurance Products for AGIA BOARD MEMBER OF A CHURCH POSITION: Board Member NATURE: As a 30+ year member of a church in the town of Paradise, CA, I was asked to become a Board Member of the church after a fire destroyed 90% of the town, and many members were forced out of the area. We currently have 5 members down from roughly 150. There are not many duties, but I am required to be present during business meetings, and vote along side the other board members and members. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/26/2024 ADDRESS: 6975 Pentz Road, Paradise CA 95973, United States DESCRIPTION: Required to be present during board meetings that happen at least annually. Typically last 30 minutes to an hour. I am not permitted to act on behalf of the church without the consent of the majority of board members.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Elias Sorensen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Elias Sorensen'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®
NoneExperience
Current
July 21, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 21 Hanover Lane Suite B, Chico, CA 95973RIA
BD
CRD#: 42803
Chico, CA
Current
July 20, 2023 - Present
VALIC FINANCIAL ADVISORS, INC.
Office #1: 21 Hanover Lane Suite B, Chico, CA 95973RIA
BD
CRD#: 42803
Chico, CA
Past
March 27, 2018 - July 27, 2023
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Chica, CA
Past
March 27, 2018 - July 27, 2023
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Chico, CA
Past
June 12, 2017 - August 25, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
REDDING, CA
Past
June 12, 2017 - August 25, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
REDDING, CA
Past
June 12, 2015 - June 16, 2017
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
CHICO, CA
Past
May 11, 2015 - June 16, 2017
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
CHICO, CA
Past
April 7, 2014 - May 5, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CHICO, CA
Past
October 1, 2012 - April 26, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CHICO, CA
Past
May 9, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICO, CA
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".
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.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
California(7/20/2023)
IAR
California(7/21/2023)
RR
Nevada(7/29/2024)
IAR
Nevada(7/29/2024)
RR
North Carolina(11/13/2023)
IAR
North Carolina(11/13/2023)
RR
Oregon(10/3/2023)
IAR
Oregon(10/3/2023)
RR
South Dakota(7/31/2023)
IAR
South Dakota(7/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALIC FINANCIAL ADVISORS, INC.
AIG RETIREMENT ADVISORS, INC. | VALIC INVESTMENT SERVICES COMPANY | VALIC FINANCIAL ADVISORS, INC. | COREBRIDGE FINANCIAL | AMERICAN GENERAL FINANCIAL ADVISORS, INC. | AIG RETIREMENT SERVICES
CRD#: 42803 / SEC#: 801-54952, 8-50018
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2919 Allen Parkway L3-20, Houston, TX 77019
Mailing Address
2919 Allen Parkway L3-20, Houston, TX 77019-2158
Phone number
(866) 544-4968
Established
Texas since 11/18/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,633
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VARIABLE ANNUITY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BURNETTE, CYNTHIA LEA | CHIEF FINANCIAL OFFICER AND TREASURER | 1863103 |
| FORTEY, MICHAEL | VFA CHIEF COMPLIANCE OFFICER BROKER DEALER | 2304969 |
| GIBSON, KRISTA DE LOIS | PRESIDENT; SVP, HEAD OF PRODUCT & ADVISORY SERVICES | 2348708 |
| JOE, CHRISTOPHER CHUCK | VFA CHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR | 2373056 |
| LOGAN, JOHN ALBERT | CHIEF OPERATIONS OFFICER | 4378887 |
| MARCIEL-CARR, THERESA H | VICE PRESIDENT, FIELD SUPERVISION | 5428259 |
| NORRIS, JOHN ERIK | SECRETARY | 8188573 |
| RINK, VERONICA LYNETTE | VICE PRESIDENT, BUSINESS ADMINISTRATION | 4724432 |
Regulatory assets under management
| Total Number of Accounts | 293,993 |
| AUM (Assets Under Management) | $ 26,372,603,709 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 01/27/2025 | ||
| 04/29/2024 | ||
| 04/28/2023 |
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.
