Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophia? Claim Your ProfileSophia Elizabeth Stafford is a registered representative with DFA Securities LLC. She has been in the industry since June 20, 2020. Sophia has held previous positions at WELLS FARGO SECURITIES, LLC, WOODBURY FINANCIAL SERVICES, INC. and VANGUARD MARKETING CORPORATION. Sophia is licensed in California.
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.
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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2
CA
08/29/2022 - Present
DFA Securities LLC (SANTA MONICA CA)
NC
12/16/2021 - 07/05/2022
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
08/27/2020 - 05/21/2021
WOODBURY FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NC
10/03/2019 - 08/28/2020
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BC
Issued 10/11/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/03/2019
Series 7TO - General Securities Representative Examination
BC
Issued 07/19/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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