Steven R. 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.
Steven Robert Sorensen was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1974. Steven had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 5, Series 1, Series 24, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2009 - December 11, 2020
UBS FINANCIAL SERVICES INC.
February 20, 2009 - December 11, 2020
UBS FINANCIAL SERVICES INC.
June 16, 2008 - February 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 2008 - February 24, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2006 - June 17, 2008
SMITH HAYES ADVISERS INC
March 20, 2006 - June 17, 2008
SMITH HAYES FINANCIAL SERVICES CORPORATION
May 2, 1994 - April 1, 2006
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - April 1, 2006
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
September 16, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
February 24, 1978 - September 13, 1985
MORGAN STANLEY DW INC.
July 25, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
October 23, 1974 - August 17, 1977
ELLIS, HOLYOKE & CO.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
PC
Date: 9/6/1985
AMEX Put and Call ExamSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 10/10/1974
Registered Representative ExaminationSeries 8
Date: 3/4/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 8/14/1975
General Securities Principal ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
