Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristian? Claim Your ProfileKristian Sorensen is a financial advisor at RBC Capital Markets, LLC. Kristian has been in the financial services industry since 1978. Kristian is registered to provide investment advice in 13 states. Kristian also has licenses to trade commodities and futures.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
06/07/2013 - Present
RBC Capital Markets, LLC (SAN JOSE CA)
CA
06/01/2009 - 06/28/2013
MORGAN STANLEY (OAKLAND CA)
CA
08/19/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (OAKLAND CA)
CA
05/29/2007 - 08/22/2008
CITIGROUP GLOBAL MARKETS INC. (NAPA CA)
CA
01/23/2003 - 05/29/2007
CITICORP INVESTMENT SERVICES (SAN JOSE CA)
NY
03/09/2002 - 01/31/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
01/19/2001 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
MN
12/17/1998 - 01/21/2000
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
CA
06/23/1997 - 12/09/1998
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
07/31/1993 - 06/06/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
12/01/1978 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
07/28/1980 - 09/25/1981
SUTRO & CO. INCORPORATED
IA
Issued 07/09/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/03/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/01/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/20/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/13/1983
Series 4 - Registered Options Principal Examination
BC
Issued 04/17/1982
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1991
Series 5 - Interest Rate Options Examination
BC
Issued 09/19/1991
Series 15 - Foreign Currency Options Examination
BC
Issued 07/07/1986
Series 3 - National Commodity Futures Examination
BC
Issued 11/18/1978
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Kristian Sorensen is the right advisor for you? Invested Better is here to help.
