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RICHARD T SOPHER
RICHARD THAYNE SOPHER JR, RICHARD THAYNE SOPHER, RICHARD SOPHER, RICHARD T SOPHER, RICK THAYNE SOPHER JR.…
CRD#: 3211887
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 4601 TOUCHTON RD EAST, BLDG 400
JACKSONVILLE, FL 32246
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 4601 TOUCHTON RD EAST, BLDG 400
JACKSONVILLE, FL 32246
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2011 (10 years)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2013 - 2021 (7 years)2 FIRMS2021 - Present (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1999 - 2000 (1 year)
License(s)

State Registrations

B
Alabama 8/25/2021

B
Montana 8/25/2021

B
Alaska 8/25/2021

B
Nebraska 8/25/2021

B
Arizona 8/25/2021

B
Nevada 8/25/2021

B
Arkansas 8/25/2021

B
New Hampshire 8/25/2021

B
California 8/25/2021

B
New Jersey 8/25/2021

B
Colorado 8/25/2021

B
New Mexico 8/25/2021

B
Connecticut 8/25/2021

B
New York 8/25/2021

B
Delaware 8/25/2021

B
North Carolina 8/25/2021

B
District of Columbia 8/25/2021

B
North Dakota 8/25/2021

B
Florida 8/25/2021

B
Ohio 8/25/2021

IA
Florida 9/9/2021

B
Oklahoma 8/25/2021

B
Georgia 8/25/2021

B
Oregon 8/25/2021

B
Hawaii 8/25/2021

B
Pennsylvania 8/25/2021

B
Idaho 8/25/2021

B
Puerto Rico 1/7/2022

B
Illinois 8/25/2021

B
Rhode Island 8/25/2021

B
Indiana 8/25/2021

B
South Carolina 8/25/2021

B
Iowa 8/25/2021

B
South Dakota 8/25/2021

B
Kansas 8/25/2021

B
Tennessee 8/25/2021

B
Kentucky 8/25/2021

B
Texas 8/25/2021

B
Louisiana 8/25/2021

IA
Texas 9/7/2021

B
Maine 8/25/2021

B
Utah 8/25/2021

B
Maryland 8/25/2021

B
Vermont 8/25/2021

B
Massachusetts 8/25/2021

B
Virginia 8/25/2021

B
Michigan 8/25/2021

B
Washington 8/25/2021

B
Minnesota 8/25/2021

B
West Virginia 8/25/2021

B
Mississippi 8/25/2021

B
Wisconsin 8/25/2021

B
Missouri 8/25/2021

B
Wyoming 8/25/2021

SRO Registrations

B
FINRA

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
4601 TOUCHTON RD EAST, BLDG 400, JACKSONVILLE, FL 32246
Registered with this firm since 9/7/2021

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
4601 TOUCHTON RD EAST, BLDG 400, JACKSONVILLE, FL 32246
PONTE VEDRA BEACH, FL
Registered with this firm since 8/25/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/16/2013 - 03/31/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
B
08/15/2013 - 03/31/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
IA
03/15/2012 - 10/04/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
B
03/14/2012 - 10/04/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
IA
09/28/2011 - 12/31/2011 EVERBANK WEALTH MANAGEMENT (CRD#:154237) JACKSONVILLE, FL
B
09/28/2011 - 12/31/2011 EVERTRADE DIRECT BROKERAGE, INC. (CRD#:47388) ST. LOUIS, MO
IA
02/14/2001 - 09/01/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) PONTE VEDRA BEACH, FL
B
02/13/2001 - 09/01/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) PONTE VEDRA BEACH, FL
B
04/26/1999 - 08/30/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.