Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophie? Claim Your ProfileSophie Rose Abrams is a registered investment advisor representative at UBS Financial Services Inc. Sophie Rose Abrams has been active in the industry since September 20, 2020. Sophie Rose Abrams is licensed to provide investment advice in California and Texas. Sophie Rose Abrams is also registered with FINRA and has a Series 66, Series 7, and SIE license. Sophie Rose Abrams has experience providing financial planning, portfolio management, and other services to individuals, businesses, and institutions. Sophie Rose Abrams is also a songwriter/producer/singer and is active in the music industry.
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.
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.
See schedule d - miscellaneous
1
2
CA
10/06/2022 - Present
UBS Financial Services Inc. (Sherman Oaks CA)
BOTH
Issued 12/07/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/21/2020
Series 7TO - General Securities Representative Examination
BC
Issued 06/18/2020
SIE - Securities Industry Essentials 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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