Adam M. Soroko

MERTZ CAPITAL

Studio City, CA

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CRD#: 6409739

Professional summary

Adam Michael Soroko is a registered financial advisor currently at MERTZ CAPITAL located in Studio City, California.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Adam has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

INDEPENDENT INSURANCE AGENT, INVESTMENT RELATED, ENCINO, CALIFORNIA, INSURANCE, AGENT, 02/2015, 1 HR PER MONTH DURING TRADING HOURS, INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Michael Soroko'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

April 3, 2020 - Present

MERTZ CAPITAL

RIA

CRD#: 307305

Studio City, CA

Past

May 18, 2018 - March 30, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LOS ANGELES, CA

Past

May 18, 2018 - March 30, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LOS ANGELES, CA

Past

December 23, 2014 - May 21, 2018

MORGAN STANLEY

RIA

CRD#: 149777

LOS ANGELES, CA

Past

November 25, 2014 - May 21, 2018

MORGAN STANLEY

CRD#: 149777

LOS ANGELES, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(4/3/2020)

IAR

Texas
(3/15/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/23/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/25/2014

General Securities Representative Examination

Current Firm

MERTZ CAPITAL

MERTZ CAPITAL | SOROKO, ADAM MICHAEL

CRD#: 307305 / SEC#:

California

Registered Investment Advisory firm - (4/1/2020 Approved)

Texas

Registered Investment Advisory firm - (3/15/2021 Conditional Restricted)

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Contact information

Main Address

Studio City, CA

Mailing Address

Phone number

(310) 433-7838

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	67
AUM (Assets Under Management)	$ 22,187,000

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.

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Adam M. Soroko

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Michael Soroko's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERTZ CAPITAL

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2014

SIE

Date: 10/1/2018

Series 7

Date: 11/25/2014

Current Firm

MERTZ CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MERTZ CAPITAL

TRUST BUT VERIFY

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