Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SOPHIE SOBCZYNSKI STEVENS
SOPHIE DEMEO, SOPHIE SOBCZYNSKI, SOPHIE STEVENS
CRD#: 1639532
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 433 South Main Street
West Hartford, CT 06110
Registration History
199019952000200520102015202020252 FIRMS2008 - 2019 (11 years)2 FIRMS2019 - 2022 (3 years)2 FIRMS2022 - Present (2 years)BINFINEX INVESTMENTS, INC. (CRD# 35371)2000 - 2008 (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 2000 (4 years)BSMITH BARNEY INC. (CRD# 7059)1987 - 1996 (9 years)IAINFINEX INVESTMENTS, INC. (CRD# 35371)2001 - 2008 (6 years)
License(s)

State Registrations

B
Alabama 7/25/2024
B
Montana 1/31/2023
B
Alaska 10/18/2024
B
Nevada 12/2/2022
B
Arizona 12/2/2022
B
New Hampshire 12/2/2022
B
California 12/2/2022
B
New Jersey 12/2/2022
B
Colorado 12/2/2022
B
New Mexico 1/31/2023
B
Connecticut 12/2/2022
B
New York 12/2/2022
IA
Connecticut 12/2/2022
B
North Carolina 1/4/2023
B
District of Columbia 1/4/2023
B
Ohio 12/2/2022
B
Florida 12/2/2022
B
Oregon 1/31/2023
B
Georgia 12/2/2022
B
Pennsylvania 12/2/2022
B
Indiana 1/4/2023
B
Rhode Island 12/2/2022
B
Louisiana 1/31/2023
B
South Carolina 12/2/2022
B
Maine 12/2/2022
B
Tennessee 1/31/2023
B
Maryland 12/2/2022
B
Texas 12/2/2022
B
Massachusetts 12/2/2022
IA
Texas 12/6/2022
B
Michigan 12/2/2022
B
Utah 12/2/2022
B
Minnesota 12/2/2022
B
Vermont 1/4/2023
B
Mississippi 1/31/2023
B
Virginia 12/2/2022
B
Missouri 12/2/2022
B
Washington 12/2/2022

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
433 South Main Street, West Hartford, CT 06110
Registered with this firm since 12/2/2022
B
MORGAN STANLEY (CRD#:149777)
433 South Main Street, West Hartford, CT 06110
Registered with this firm since 12/2/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/11/2019 - 12/08/2022 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) SIMSBURY, CT
B
 10/11/2019 - 12/08/2022 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) SIMSBURY, CT
IA
 02/29/2008 - 10/16/2019 LPL FINANCIAL LLC (CRD#:6413) SIMSBURY, CT
B
 02/29/2008 - 10/16/2019 LPL FINANCIAL LLC (CRD#:6413) SIMSBURY, CT
IA
 03/20/2001 - 02/29/2008 INFINEX INVESTMENTS, INC. (CRD#:35371) SIMSBURY, CT
B
 11/03/2000 - 02/29/2008 INFINEX INVESTMENTS, INC. (CRD#:35371) SIMSBURY, CT
B
 03/15/1996 - 11/02/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 03/25/1987 - 03/28/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.