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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Arthur Sorensen is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in New York, NY. David Arthur Sorensen has been in the financial industry since 1992 and has a wide range of experience in the industry. David Arthur Sorensen is registered with the Securities and Exchange Commission (SEC) and is also registered with the state of Rhode Island and Texas. David Arthur Sorensen is currently a Registered Representative for Merrill Lynch, Pierce, Fenner & Smith Inc. David Arthur Sorensen has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2009. Prior to that, David Arthur Sorensen was with BANC OF AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., BROWN & COMPANY SECURITIES CORPORATION and DEAN WITTER REYNOLDS INC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
06/20/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WALTHAM MA)
NY
02/11/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MA
03/04/1993 - 06/06/2000
BROWN & COMPANY SECURITIES CORPORATION (BOSTON MA)
NY
01/03/1992 - 11/30/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NJ
12/17/1990 - 01/08/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 05/02/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/21/2002
Series 24 - General Securities Principal Examination
BC
Issued 11/07/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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