Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophia? Claim Your ProfileSophia Sun is a financial professional with over 20 years of experience in the industry. Sophia has been with Charles Schwab & Co., Inc. since 2009 and is registered with the firm in California. Previously, Sophia was associated with Franklin/Templeton Distributors, Inc. in San Mateo, California. Sophia holds the Series 6, 7, and 66 securities licenses and has a background in investment company products, variable contracts, and general securities. Sophia is also a licensed real estate and property manager.
San Francisco, CA
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CA
10/06/2011 - Present
Charles Schwab & CO., Inc. (San Francisco CA)
CA
10/31/1997 - 07/27/1998
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
BOTH
Issued 10/5/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/18/2011
Series 7 - General Securities Representative Examination
BC
Issued 10/29/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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