Erwin H. Sorensen
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.
Erwin Henry Sorensen III, who also goes by Erwin Henry Sorensen, Skip Sorensen, was a registered financial professional .
Erwin is a previously registered financial professional and started their career in finance in 1981. Erwin had worked at 12 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2016 - September 26, 2018
CAPITAL WEALTH PLANNING, LLC
May 11, 2009 - August 31, 2010
ASKAR CORP.
August 9, 2007 - May 13, 2009
UBS FINANCIAL SERVICES INC.
March 7, 2005 - August 6, 2007
PACIFIC SELECT DISTRIBUTORS, LLC
November 23, 2004 - March 7, 2005
TOWER SQUARE SECURITIES, INC.
August 22, 1994 - November 3, 2004
PACIFIC SELECT DISTRIBUTORS, LLC
July 31, 1993 - June 8, 1994
CITIGROUP GLOBAL MARKETS INC.
November 18, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
July 6, 1992 - November 23, 1992
COMMONWEALTH FINANCIAL NETWORK
November 14, 1989 - July 6, 1992
KAVANAUGH SECURITIES, INC.
August 26, 1986 - November 16, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 5, 1984 - September 3, 1986
HANIFEN, IMHOFF INC.
March 23, 1981 - March 2, 1984
BOETTCHER & COMPANY, INC.
Primary Firm SEC Registration
CAPITAL WEALTH PLANNING, LLC
CRD#: 150764 / SEC#: 801-70333
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 5
Date: 6/11/1984
Interest Rate Options ExaminationCurrent Firm
CAPITAL WEALTH PLANNING, LLC
CRD#: 150764 / SEC#: 801-70333
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,690 |
| AUM (Assets Under Management) | $ 11,419,152,238 |
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.
