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RS

Robert Soriano

MISSIONSQUARE RETIREMENT
Alhambra, CA
Some features on this profile are disabled
CRD#: 7194273
RS

Professional summary

Robert Soriano is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Alhambra, California and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Robert has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

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.
Name: Jerome Roy Abrams Trust. Non-investment related. Nature of Business: Rental apartments. Address: 1132 N Stoneman Ave, Alhambra, CA 91801. Position: Onsite Manager. Start Date: 12/01/2023. Number of hours per month devoted to other business 10; during securities trading hours 1. Duties: Collect rent, advertise and fill vacancies, respond to tenant requests for repairs, and respond to requests from local governments and public utilities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Soriano's CRS (Customer Relationship Summary).
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

November 3, 2022 - Present

MISSIONSQUARE RETIREMENT

RIA
CRD#: 108783
Alhambra, CA
Current

November 3, 2022 - Present

MISSIONSQUARE INVESTMENT SERVICES

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240
BD
CRD#: 23189
Washington, DC
Past

May 26, 2020 - October 12, 2022

EDWARD JONES

RIA
CRD#: 250
Alhambra, CA
Past

February 10, 2020 - October 12, 2022

EDWARD JONES

BD
CRD#: 250
EL SEGUNDO, 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".
MR
MISSIONSQUARE RETIREMENT
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION

CRD#: 108783 / SEC#: 801-18273

RIA
Registered Investment Advisory firm - (1/19/1983 Approved)

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
Arizona
(12/13/2024)
IAR
Arizona
(12/13/2024)
RR
California
(11/3/2022)
IAR
California
(11/3/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/10/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MR
MISSIONSQUARE RETIREMENT
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION

CRD#: 108783 / SEC#: 801-18273

RIA
Registered Investment Advisory firm - (1/19/1983 Approved)
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Contact information

Main Address
777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240
Mailing Address
Phone number
(202) 962-4600
Established
Firm type
Fiscal year end
# of Employees
599

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)
INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)
INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts58,580
AUM (Assets Under Management)$ 5,959,398,729

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/28/2025
Cover Page
Report
01/27/2025
Cover Page
Report
10/27/2023
Cover Page
Report
01/27/2023
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

MISSIONSQUARE RETIREMENT

CRD#: 108783Alhambra, CA

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