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Sophanna Luy

National Financial Services LLC

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About Sophanna Luy

Sophanna Luy is an experienced financial professional with over 18 years of experience in the industry. Sophanna has a strong track record of providing comprehensive financial advice and investment management services. Sophanna is currently registered with National Financial Services LLC in Rhode Island. Sophanna has previously worked with Fidelity Brokerage Services LLC. Sophanna holds a variety of licenses and certifications including Series 7, 9, 10, 24, 63, 99 and SIE. Sophanna is a dedicated professional who is committed to helping clients achieve their financial goals.

Firm Information

Sophanna Luy is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Sophanna Luy’s Registration & Firm History

RI

07/16/2013 - Present

National Financial Services LLC (SMITHFIELD RI)

RI

07/16/2013 - 12/13/2017

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

RI

05/25/2007 - 06/14/2013

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

RI

08/12/2004 - 12/07/2006

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

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Licenses & Designations

BC

Issued 12/13/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/06/2009

Series 24 - General Securities Principal Examination

BC

Issued 05/16/2008

Series 4 - Registered Options Principal Examination

BC

Issued 09/11/2007

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/11/2007

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/11/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sophanna Luy.
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