Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sorin? Claim Your ProfileSorin Iancu is an active advisor associated with RBC Capital Markets, LLC. Sorin has been in the industry since November 23, 1980. Sorin has passed several exams including the Series 65, Series 63, Series 9, Series 10, Series 8, SIE, Series 3, Series 5, and Series 7. Sorin is registered in multiple states, including Alabama, Arizona, California, Colorado, District of Columbia, Florida, Georgia, Illinois, Maryland, Minnesota, New Mexico, New York, Pennsylvania, South Carolina, Texas, and Wisconsin. Sorin has experience with a variety of clients including insurance companies, charitable organizations, high net worth individuals, pooled investment vehicles, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high net worth, state or municipal government entities. Previously, Sorin was associated with DAIN RAUSCHER INCORPORATED, PAINEWEBBER INCORPORATED, MITCHELL HUTCHINS ASSET MANAGEMENT INC., and A. G. EDWARDS & SONS, 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.
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
WI
04/15/1998 - Present
RBC Capital Markets, LLC (MILWAUKEE WI)
NA
01/02/1990 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NJ
07/01/1981 - 01/13/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/08/1981 - 04/28/1989
MITCHELL HUTCHINS ASSET MANAGEMENT INC. (NEW YORK NY)
NA
11/24/1980 - 07/06/1981
A. G. EDWARDS & SONS, INC.
IA
Issued 01/11/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/22/1980
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 04/21/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1982
Series 3 - National Commodity Futures Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 11/15/1980
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
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