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Financial ADVSR advisor directory · SEC adviser records

Sophis Investments LLC financial advisors in New York, NY

Every SEC-registered investment adviser representative at a Sophis Investments LLC office in New York, A to Z.

The short answer

4 registered advisors work at Sophis Investments LLC in New York, out of 5 at the firm nationwide; it ranks number 236 in the city by advisors. 0 list the CFP designation and 0 are also registered broker representatives.

Sophis Investments LLC advisors in New York, A to Z

Every Sophis Investments LLC advisor →

Sophis Investments LLC advisors in every city and state →Sophis Investments LLC: assets, clients and custodians →Advisor Moves: who changed firms this week →

Sophis Investments LLC advisors in other cities

Greenwich, CT 1

Other firms in New York

All New York advisors →

Merrill Lynch, Pierce, Fenner & Smith Incorporated 2,514Morgan Stanley 2,116J.P. Morgan Securities LLC 1,933UBS Financial Services Inc. 953Citigroup Global Markets Inc. 624Neuberger Berman Bd LLC 508Cerity Partners LLC 363Wells Fargo Clearing Services, LLC 324Equitable Advisors, LLC 313Oppenheimer & Co. Inc. 223MML Investors Services, LLC 161Rockefeller Financial LLC 159

Questions

How many financial advisors does Sophis Investments LLC have in New York?

4 investment adviser representatives are registered at Sophis Investments LLC offices in New York, New York, according to the SEC's Investment Adviser Public Disclosure records, out of 5 nationwide. 0 list the CFP designation and 0 are also registered as broker representatives.

Is Sophis Investments LLC one of the largest advisor employers in New York?

Sophis Investments LLC ranks number 236 in New York by registered advisors; Merrill Lynch, Pierce, Fenner & Smith Incorporated has the most, with 2,514.

How do I check a Sophis Investments LLC advisor in New York?

Each advisor below links to a profile with their registrations, exams, designations and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the Sophis Investments LLC office they're registered at; broker-only representatives (FINRA BrokerCheck) aren't included. Weighing a move? Compare payouts by firm or value a recruiting offer.