Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophia? Claim Your ProfileSophia Karel is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Sophia has been in the industry since 2021, has passed the Series 7TO, SIE and Series 66 exams, and has been registered in multiple states for both brokerage and investment advisory services. Sophia has previously worked at LPL Financial LLC and J.P. MORGAN SECURITIES LLC. Sophia has experience working with a variety of clients including individuals, high-net-worth individuals, businesses, corporations, pension and profit-sharing plans, charitable organizations, insurance companies, and state or municipal government entities.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MD
08/02/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BALTIMORE MD)
CA
02/02/2022 - 10/23/2022
J.P. MORGAN SECURITIES LLC (San Diego CA)
CA
11/23/2021 - 01/25/2022
LPL FINANCIAL LLC (SAN DIEGO CA)
BOTH
Issued 3/24/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/23/2021
Series 7TO - General Securities Representative Examination
BC
Issued 9/27/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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