Howard L. Sorkin
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.
Howard Lane Sorkin was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1991. Howard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2008 - January 5, 2021
VOYA FINANCIAL ADVISORS, INC.
August 29, 2008 - January 5, 2021
VOYA FINANCIAL ADVISORS, INC.
January 5, 2005 - September 12, 2008
MSI FINANCIAL SERVICES, INC.
December 9, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 9, 2004 - September 12, 2008
MSI FINANCIAL SERVICES, INC.
June 27, 2003 - December 31, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
June 27, 2003 - December 31, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
September 19, 1991 - July 9, 2003
LOCUST STREET SECURITIES, INC.
May 22, 1991 - July 18, 1991
LOCUST STREET SECURITIES, INC.
January 24, 1991 - October 3, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 24, 1991 - October 3, 1991
OSAIC FA, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 1
Date: 5/21/1975
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
