Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophia? Claim Your ProfileSophia Wu is a financial advisor who has been in the industry since January 9, 2018. Sophia is currently registered with Morgan Stanley in San Francisco, CA and has been with the firm since March 17, 2023. Sophia has a Series 7, Series 66, and SIE license. Sophia previously worked at E*TRADE Securities LLC in San Francisco, CA from January 10, 2018, to September 5, 2023. Sophia is registered with the state of California as both a broker-dealer and an investment advisor. Sophia provides a range of financial services, including asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses, individuals, and investment companies.
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
10/02/2023 - Present
Wealthpenn.comllc (San Francisco CA)
CA
01/10/2018 - 09/05/2023
E*TRADE SECURITIES LLC (San Francisco CA)
BOTH
Issued 2/26/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/9/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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