Cheryl D. Soriano
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.
Cheryl Dawn Soriano, who also goes by Cheryl Dawn Whitehurst, was a registered financial professional .
Cheryl is a previously registered financial professional and started their career in finance in 2020. Cheryl had worked at 3 firms and has passed the Series 66, Series 22TO, Series 6TO, Series 82TO, Series 99TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2023 - November 6, 2024
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
January 10, 2023 - November 6, 2024
TCBI SECURITIES, INC.
December 3, 2020 - October 8, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2020 - October 8, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 22TO
Date: 1/10/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/10/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 1/10/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/10/2023
Operations Professional ExaminationSeries 7TO
Date: 10/30/2020
General Securities Representative ExaminationCurrent Firm
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,982 |
| AUM (Assets Under Management) | $ 3,471,701,060 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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