Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophia? Claim Your ProfileSophia Sauyann Berman is a registered investment advisor representative with Charles Schwab & CO., Inc. in Austin, TX. Sophia has been in the industry for 23 years and holds Series 7, 9, 10, 24, 63, 65 and 66 licenses. Sophia has previously worked at Citigroup Global Markets Inc., Morgan Stanley DW Inc. and BANCBOSTON ROBERTSON STEPHENS INC. Sophia has a specialization in securities and investment advisory services.
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
TX
05/02/2011 - Present
Charles Schwab & CO., Inc. (Austin TX)
NY
08/04/2004 - 10/25/2007
CITIGROUP GLOBAL MARKETS INC. (SKANEATELES NY)
NY
11/14/2001 - 06/04/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
02/09/2000 - 10/22/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
10/01/1999 - 12/03/1999
BANCBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
BOTH
Issued 04/28/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/05/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/11/2019
Series 24 - General Securities Principal Examination
BC
Issued 03/20/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/05/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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