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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 Liu is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Sophia is a registered representative with FINRA, holding Series 7 and Series 66 licenses. Sophia also holds Series 31 and SIE licenses, demonstrating her expertise in a variety of financial products and services. Sophia has been working in the financial industry for over 17 years, with experience at Morgan Stanley, UBS Financial Services Inc, and Merrill Lynch, Pierce, Fenner & Smith Inc. Sophia specializes in advising a range of clients, including individuals, corporations, high-net-worth individuals, and pension and profit-sharing plans. Sophia provides a range of services, including portfolio management, financial planning, and investment research and analysis.
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
CA
10/19/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
10/02/2015 - 06/04/2024
UBS FINANCIAL SERVICES INC. (Los Angeles CA)
CA
06/01/2009 - 10/07/2015
MORGAN STANLEY (BEVERLY HILLS CA)
CA
11/13/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BEVERLY HILLS CA)
CA
09/26/2006 - 10/02/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
BOTH
Issued 11/06/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 09/25/2006
Series 7 - General Securities Representative 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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