Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophia? Claim Your ProfileSophia Yen is a registered representative with Cetera Investment Services LLC in Flushing, NY. Sophia has been in the securities industry since 2004 and has experience with HSBC Securities (USA) Inc. and Citigroup Global Markets Inc. Sophia holds Series 6 and Series 63 licenses.
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.
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.
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NY
01/22/2024 - Present
Cetera Investment Services LLC (FLUSHING NY)
NY
10/26/2016 - 02/22/2022
HSBC SECURITIES (USA) INC. (FLUSHING NY)
NY
06/04/2013 - 09/23/2016
CITIGROUP GLOBAL MARKETS INC. (FLUSHING NY)
NY
01/01/2005 - 05/13/2013
HSBC SECURITIES (USA) INC. (FLUSHING NY)
NY
03/13/2002 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
BC
Issued 01/08/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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