Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophia? Claim Your ProfileSophia Chin is a financial advisor with Wells Fargo Securities, LLC. Sophia has been working in the financial industry since July 23, 2023. Sophia is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7TO, Series 63, and SIE licenses. Sophia is registered in 53 states, including North Carolina, and holds 25 approved SRO registrations.
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.
1
2
NC
07/24/2023 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
BC
Issued 06/23/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/24/2023
Series 7TO - General Securities Representative Examination
BC
Issued 04/26/2023
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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