Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Soroka is an investment advisor representative with Citigroup Global Markets Inc., a firm that manages over $50 billion in assets for over 11,000 clients. Richard Soroka is a seasoned professional in the financial services industry, with over 20 years of experience. Richard Soroka holds the Series 6, 7, 63 and 65 licenses and has been registered with the Securities and Exchange Commission (SEC) since 1996. Richard Soroka also holds the Securities Industry Essentials (SIE) certification. In addition to his work with Citigroup Global Markets Inc., Richard Soroka has also worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lincoln Financial Distributors, Inc., and MetLife Securities Inc., and Citigroup Investment Services. Richard Soroka is a member of the Financial Industry Regulatory Authority (FINRA) and is registered to offer securities in multiple states. Richard Soroka can help individuals, corporations, and other business entities with their investment needs. Richard Soroka specializes in asset allocation advice, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals. Richard Soroka has a strong track record of success in the financial services industry, and is committed to providing his clients with the highest level of service and expertise.
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.
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.
Asset allocation advice
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.
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2
NY
08/17/2021 - Present
Citigroup Global Markets Inc. (Long Island City NY)
NY
08/11/2010 - 04/05/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
PA
10/25/2007 - 07/30/2010
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
NY
05/29/2007 - 10/22/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/05/2002 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
MA
09/20/2000 - 02/06/2002
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
09/20/2000 - 02/06/2002
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
10/07/1999 - 08/28/2000
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
MA
08/29/1996 - 10/06/1999
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
08/29/1996 - 10/06/1999
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 12/29/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/26/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
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Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
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FINRA
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Investors' Exchange LLC
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MIAX Emerald, LLC
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MIAX PEARL, LLC
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Miami International Securities Exchange, LLC
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NYSE American LLC
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NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
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Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
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Nasdaq PHLX LLC
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Nasdaq Stock Market
N
New York Stock Exchange
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