KS
Kristian P. Sorensen
RBC CAPITAL MARKETS
SANTA CRUZ, CA
Some features on this profile are disabled
CRD#: 860061
KS
Professional summary
Kristian Pfeil Sorensen, who also goes by Kris Sorensen, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Santa Cruz, California.
Kristian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Kristian has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 5, Series 15, Series 3, Series 7, Series 9, Series 10, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kris Sorensen
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.
(1) THE COOPERAGE AMERICAN GRILL; ADDRESS: 32 FIESTA LANE, LAFAYETTE, CA, 94549; BUSINESS DESCRIPTION: RESTAURANT; NOT INVESTMENT RELATED; START DATE: 01/04/2014; CAPACITY: OWNER-PASSIVE; DUTIES: PROVIDE FEEDBACK ON FOOD, DRINK, SERVICE; HOURS DEVOTED PER WEEK: .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
(2) ALDERSLY GARDEN RETIREMENT COMMUNITY; ADDRESS: 326 MISSION AVENUE SAN RAFAEL, CALIFORNIA 94901; BUSINESS DESCRIPTION: CONTINUOUS CARE COMMUNITY; NOT INVESTMENT RELATED; START DATE: 01/02/2012; CAPACITY: BOARD OF DIRECTORS; DUTIES: BOARD MEMBER, VOLUNTEER; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .50
CRS (Client Relationship Summary) - RIA
Click below to view Kristian Pfeil Sorensen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristian Pfeil Sorensen's 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®
NoneExperience
Current
June 7, 2013 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603RIA
BD
CRD#: 31194
SANTA CRUZ, CA
Current
June 7, 2013 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 99 Almaden Boulevard Suite 300, San Jose, CA 95113-1603RIA
BD
CRD#: 31194
San Jose, CA
Past
June 1, 2009 - June 28, 2013
MORGAN STANLEY
RIA
CRD#: 149777
OAKLAND, CA
Past
June 1, 2009 - June 28, 2013
MORGAN STANLEY
BD
CRD#: 149777
OAKLAND, CA
Past
August 20, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
OAKLAND, CA
Past
August 19, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
OAKLAND, CA
Past
May 29, 2007 - August 22, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NAPA, CA
Past
May 29, 2007 - August 22, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NAPA, CA
Past
January 23, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
SAN JOSE, CA
Past
January 23, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
SAN JOSE, CA
Past
July 11, 2002 - January 31, 2003
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SAN FRANCISCO, CA
Past
March 9, 2002 - January 31, 2003
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 19, 2001 - March 9, 2002
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
December 17, 1998 - January 21, 2000
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
June 23, 1997 - December 9, 1998
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
July 31, 1993 - June 6, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 28, 1980 - September 25, 1981
SUTRO & CO. INCORPORATED
BD
CRD#: 801
Past
December 1, 1978 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Alabama(3/19/2019)
RR
California(6/7/2013)
IAR
California(6/7/2013)
RR
Florida(4/25/2022)
RR
Hawaii(7/18/2019)
RR
Montana(4/25/2014)
RR
Nebraska(7/16/2020)
RR
Nevada(8/30/2017)
RR
New Jersey(11/19/2024)
RR
New York(6/10/2015)
RR
Oregon(11/17/2015)
RR
Utah(6/7/2013)
RR
Washington(6/7/2013)
RR
Wisconsin(6/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/11/1991
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 9/19/1991
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 4/17/1982
NYSE Branch Manager ExaminationSRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
