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Gregory Sorensen

Transamerica Financial Advisors, LLC
34 Years of Experience
San Jose, CA
2 DisclosuresBrokerSells Insurance
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Gregory Sorensen is a registered investment advisor at Transamerica Financial Advisors, LLC, based in San Jose, CA, with 34 years of industry experience. Gregory is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42,735 clients with $2.1B in assets under management.

Transamerica Financial Advisors, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
1118 advisors
Number of Clients
42,735 clients
Average Client Portfolio
$49K average
Assets Under Management
$2.1B

Fee Structure

Minimum Investment:$10
Investment management only (planning not offered)
Minimum Annual Fee:$35

Transamerica Financial Advisors (TFA) offers several investment management programs, including:

  • Third-Party Money Management Programs: TFA Advisors can connect you with third-party money managers (TPMMs) who manage model portfolios. Fees are specific to the TPMM you select.
  • Transamerica® ONE Wealth Management Platform: This is a wrap fee program with a single fee for services. The total annual program fee does not exceed 2.0%.
  • Transamerica® ALPHA Digital Investment Program: This program uses Betterment's platform. The total annual advisory fee ranges from 0.65% to 0.95%.
  • TFA365 Advisory Program: This is a wrap fee program. The total annual program fee does not exceed 2.75%. A minimum annual account fee applies to accounts that fall below the program account minimum. For the Strategist Program and the Unified Managed Account Program, the minimum annual account fee is $35 (account minimum: $25,000). For the Separately Managed Account Program, the minimum annual account fee is $150 (account minimum: $100,000).
View Full SEC Brochure

Location

3550 Stevens Creek Blvd, Suite 308, San Jose, CA, 95117

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History

Regulatory History (2)
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
June 2022
Closed-No Action
Customer Dispute
May 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gregory sells insurance products for companies affiliated with Transamerica Financial Advisors, Inc.

Employment History
Current Registrations
Transamerica Financial Advisors, LLC
January 2012 - Present · 14 yrs 9 mos
Transamerica Financial Advisors, LLCBroker
January 2012 - Present · 14 yrs 9 mos
Previous Registrations
Investment Advisors International, INC.
July 2008 - January 2012 · 3 yrs 6 mos
World Group Securities, INC.Broker
April 2002 - January 2012 · 9 yrs 9 mos
Wma Securities, INC.Broker
May 1994 - April 2002 · 7 yrs 11 mos
Intersecurities, INC.Broker
March 1992 - June 1994 · 2 yrs 3 mos
State Registrations5 states
CACOGANMTX
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.
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