KS
KS
Kenneth Sorensen
35 Years of Experience
San Rafael, CA
6 DisclosuresBroker
Kenneth Sorensen is a registered investment advisor at Morgan Stanley, based in San Rafael, CA, with 35 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...
Location
1101 5th AVENUE, Suite 275, San Rafael, CA, 94901
Get directionsHistory
Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2009Denied
Customer Dispute
October 2006Settled
Employment Separation After Allegations
May 2004Customer Dispute
May 2003Settled
Customer Dispute
October 2002Denied
Customer Dispute
May 2001Settled
Other Business Activities
Kenneth owns rental property in Novato, California since 2018. This activity is investment-related and requires minimal time.
Employment History
Current Registrations
Morgan Stanley
January 2014 - Present · 12 yrs 4 mos
Morgan StanleyBroker
January 2014 - Present · 12 yrs 4 mos
Previous Registrations
Wells Fargo Advisors, LLCBroker
January 2011 - January 2014 · 3 yrs
Wells Fargo Advisors, LLC
January 2011 - January 2014 · 3 yrs
Wells Fargo Investments, LLCBroker
July 2004 - January 2011 · 6 yrs 6 mos
Wells Fargo Investments, LLC
July 2004 - January 2011 · 6 yrs 6 mos
Wm Financial Services, INC.Broker
May 1998 - May 2004 · 6 yrs
Great Western Financial Securities CorporationBroker
January 1994 - May 1998 · 4 yrs 4 mos
Princor Financial Services CorporationBroker
April 1990 - May 1992 · 2 yrs 1 mo
Pruco Securities CorporationBroker
September 1988 - February 1990 · 1 yr 5 mos
The Prudential Insurance Company of AmericaBroker
September 1988 - February 1990 · 1 yr 5 mos
State Registrations30 states
AZCACODEFLGAHIIAIDILINKYMAMIMNMOMTNMNVNYOHOKORPARISCTXUTVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.