Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Craig Sorenson is a financial advisor with over 40 years of experience in the industry. Scott is currently registered with UBS Financial Services Inc., a firm with a strong track record of providing financial services to individuals and institutions. Scott has previously worked with several other leading firms including Jefferies & Company, Inc., Credit Suisse Securities (USA) LLC, Donaldson, Lufkin & Jenrette Securities Corporation, Furman Selz LLC and Goldman, Sachs & Co. Scott holds the Series 7, Series 15, Series 63 and Series 65 licenses, as well as the Securities Industry Essentials Examination (SIE). Scott is well-equipped to help clients with a range of financial needs, including portfolio management, financial planning and investment advice.
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.
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.
See schedule d - miscellaneous
1
2
CA
03/28/2011 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
06/01/2007 - 03/29/2011
JEFFERIES & COMPANY, INC. (SAN FRANCISCO CA)
CA
08/05/2002 - 07/06/2007
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
NJ
02/11/1998 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
10/03/1996 - 04/03/1998
FURMAN SELZ LLC (NEW YORK NY)
NY
03/18/1980 - 04/11/1995
GOLDMAN, SACHS & CO. (NEW YORK NY)
NA
01/27/1978 - 03/20/1980
CS FIRST BOSTON CORPORATION
IA
Issued 01/27/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 01/21/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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