Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sophie? Claim Your ProfileSophie Stevens is a financial advisor who has been in the industry since 1987. Sophie is currently registered with Morgan Stanley in Connecticut and Texas. Sophie has been a registered representative with several firms, including Raymond James Financial Services, Inc., LPL Financial LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Sophie has a strong background in the industry with multiple licenses and registrations.
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
CT
12/06/2022 - Present
Morgan Stanley (West Hartford CT)
CT
10/11/2019 - 12/08/2022
RAYMOND JAMES FINANCIAL SERVICES, INC. (SIMSBURY CT)
CT
02/29/2008 - 10/16/2019
LPL FINANCIAL LLC (SIMSBURY CT)
CT
11/03/2000 - 02/29/2008
INFINEX INVESTMENTS, INC. (SIMSBURY CT)
NY
03/15/1996 - 11/02/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/25/1987 - 03/28/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 08/16/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/1991
Series 3 - National Commodity Futures Examination
BC
Issued 03/21/1987
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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