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CARL AARON SORONGON TIU
CRD#: 6267100
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 6501 S FIDDLER'S GREEN CIRCLE
STE 300 - 600
GREENWOOD VILLAGE, CO 80111-4932
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 6501 S FIDDLER'S GREEN CIRCLE
STE 300 - 600
GREENWOOD VILLAGE, CO 80111-4932
Registration History
2015201620172018201920202021202220232024202520263 FIRMS2018 - 2018 (<1 year)2 FIRMS2020 - Present (5 years)BSCOTTRADE, INC. (CRD# 8206)2015 - 2018 (2 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (<1 year)
License(s)

State Registrations

B
Alabama 2/11/2020

B
Montana 2/11/2020

B
Alaska 2/11/2020

B
Nebraska 2/11/2020

B
Arizona 2/11/2020

B
Nevada 2/11/2020

B
Arkansas 2/11/2020

B
New Hampshire 2/11/2020

B
California 2/11/2020

B
New Jersey 2/11/2020

B
Colorado 2/7/2020

B
New Mexico 2/11/2020

IA
Colorado 2/12/2020

B
New York 2/11/2020

B
Connecticut 2/11/2020

B
North Carolina 2/11/2020

B
Delaware 2/11/2020

B
North Dakota 2/11/2020

B
District of Columbia 2/11/2020

B
Ohio 2/12/2020

B
Florida 2/11/2020

B
Oklahoma 2/11/2020

B
Georgia 2/11/2020

B
Oregon 2/11/2020

B
Hawaii 2/11/2020

B
Pennsylvania 2/11/2020

B
Idaho 2/11/2020

B
Puerto Rico 2/11/2020

B
Illinois 2/11/2020

B
Rhode Island 2/11/2020

B
Indiana 2/11/2020

B
South Carolina 2/11/2020

B
Iowa 2/11/2020

B
South Dakota 2/11/2020

B
Kansas 2/11/2020

B
Tennessee 2/11/2020

B
Kentucky 2/11/2020

B
Texas 2/11/2020

B
Louisiana 2/11/2020

IA
Texas 2/13/2020

B
Maine 2/11/2020

B
Utah 2/11/2020

B
Maryland 2/11/2020

B
Vermont 2/11/2020

B
Massachusetts 2/11/2020

B
Virginia 2/11/2020

B
Michigan 2/11/2020

B
Washington 2/11/2020

B
Minnesota 2/11/2020

B
West Virginia 2/11/2020

B
Mississippi 2/11/2020

B
Wisconsin 2/11/2020

B
Missouri 2/11/2020

B
Wyoming 2/11/2020

SRO Registrations

B
FINRA

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
6501 S FIDDLER'S GREEN CIRCLE STE 300 - 600, GREENWOOD VILLAGE, CO 80111-4932
Registered with this firm since 2/12/2020

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
6501 S FIDDLER'S GREEN CIRCLE STE 300 - 600, GREENWOOD VILLAGE, CO 80111-4932
AURORA, CO
Registered with this firm since 2/7/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/16/2018 - 10/23/2018 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Denver, CO
IA
03/16/2018 - 10/23/2018 TD AMERITRADE, INC. (CRD#:7870) Denver, CO
B
02/26/2018 - 10/23/2018 TD AMERITRADE, INC. (CRD#:7870) KINGSPORT, TN
IA
07/05/2017 - 03/24/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) Westminster, CO
B
08/26/2015 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) WESTMINSTER, CO
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.