Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sofia? Claim Your ProfileSofia Reyes Mundy is an Investment Advisor Representative associated with RBC Capital Markets, LLC. Sofia is registered with FINRA and holds the following licenses: Series 66, Series 7TO, and SIE. Sofia's experience in the financial services industry dates back to November 2007. Sofia's career has involved working with a wide range of clients including, but not limited to, high-net-worth individuals, corporations, pension and profit sharing plans, and charitable organizations. Sofia's practice specializes in providing financial planning, portfolio management for individuals and businesses, and retirement planning services.
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
CA
12/06/2023 - Present
RBC Capital Markets, LLC (SAN DIEGO CA)
BOTH
Issued 11/27/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/09/2023
Series 7TO - General Securities Representative Examination
BC
Issued 08/15/2022
SIE - Securities Industry Essentials 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
Not sure Sofia Mundy is the right advisor for you? Invested Better is here to help.
