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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophia? Claim Your ProfileSophia Oh-nguyen is a financial advisor who has been in the industry since January 2010. Sophia currently works at Morgan Stanley and has held previous positions at Wells Fargo Advisors, LLC, Woodbury Financial Services, Inc., and Morgan Stanley & Co. Incorporated. Sophia is licensed to provide financial advice in 44 states and the District of Columbia. Sophia specializes in providing asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals, businesses, and investment companies. Sophia is committed to providing her clients with personalized financial advice and guidance.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
11/01/2024 - Present
Morgan Stanley (Newport Beach CA)
CA
06/23/2020 - 06/04/2024
MORGAN STANLEY (Carlsbad CA)
CA
04/01/2020 - 04/21/2020
WOODBURY FINANCIAL SERVICES, INC. (CARLSBAD CA)
CA
09/12/2018 - 03/23/2020
WELLS FARGO CLEARING SERVICES, LLC (SAN DIEGO CA)
CA
05/11/2018 - 09/04/2018
MORGAN STANLEY (CARLSBAD CA)
CA
05/02/2008 - 07/21/2016
WELLS FARGO ADVISORS, LLC (LA JOLLA CA)
CA
01/14/2008 - 05/05/2008
MORGAN STANLEY & CO. INCORPORATED (LA JOLLA CA)
BOTH
Issued 11/17/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/11/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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