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SOPHIA ROBINSON
SOPHIA ANN JOHNSON, SOPHIA ANN RACQUEL JOHNSON, SOPHIA ANN RAQUEL JOHNSON, SOPHIA JOHNSON, SOPHIA ANN ROBINSON
CRD#: 4169575
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 CAPITOL ST
PBIG - HOUSTON II
HOUSTON, TX 77002
Registration History
20082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BSOUTHWEST SECURITIES, INC. (CRD# 6220)2009 - 2014 (5 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - 2008 (<1 year)IASOUTHWEST SECURITIES, INC. (CRD# 6220)2013 - 2014 (1 year)IASOUTHWEST SECURITIES, INC. (CRD# 6220)2012 - 2012 (<1 year)
License(s)

State Registrations

B
Alabama 1/13/2017

B
Nebraska 9/4/2019

B
Alaska 5/30/2019

B
Nevada 1/13/2017

B
Arizona 9/12/2014

B
New Hampshire 1/7/2019

B
Arkansas 1/20/2017

B
New Jersey 9/12/2014

B
California 9/12/2014

B
New Mexico 9/12/2014

B
Colorado 9/12/2014

B
New York 9/12/2014

B
Connecticut 1/13/2017

B
North Carolina 9/15/2014

B
Delaware 4/1/2019

B
North Dakota 9/4/2019

B
District of Columbia 9/4/2019

B
Ohio 9/12/2014

B
Florida 9/12/2014

B
Oklahoma 9/12/2014

B
Georgia 9/12/2014

B
Oregon 1/13/2017

B
Hawaii 1/20/2017

B
Pennsylvania 9/26/2014

B
Idaho 5/30/2019

B
Puerto Rico 9/4/2019

B
Illinois 9/12/2014

B
Rhode Island 9/4/2019

B
Indiana 9/4/2019

B
South Carolina 1/13/2017

B
Iowa 5/30/2019

B
South Dakota 9/4/2019

B
Kansas 9/12/2014

B
Tennessee 9/12/2014

B
Kentucky 9/26/2014

B
Texas 9/9/2014

B
Louisiana 9/12/2014

IA
Texas 9/9/2014

B
Maine 11/3/2022

B
Utah 1/7/2019

B
Maryland 9/12/2014

B
Vermont 4/1/2022

B
Massachusetts 9/26/2014

B
Virginia 9/12/2014

B
Michigan 5/30/2019

B
Washington 1/13/2017

B
Minnesota 1/13/2017

B
West Virginia 11/21/2017

B
Mississippi 9/26/2014

B
Wisconsin 1/13/2017

B
Missouri 9/26/2014

B
Wyoming 9/12/2014

B
Montana 9/12/2014

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 CAPITOL ST PBIG - HOUSTON II, HOUSTON, TX 77002
Registered with this firm since 9/9/2014

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 CAPITOL ST PBIG - HOUSTON II, HOUSTON, TX 77002
Registered with this firm since 9/9/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/07/2013 - 08/27/2014 SOUTHWEST SECURITIES, INC. (CRD#:6220) HOUSTON, TX
B
04/03/2009 - 08/27/2014 SOUTHWEST SECURITIES, INC. (CRD#:6220) HOUSTON, TX
IA
09/12/2012 - 12/31/2012 SOUTHWEST SECURITIES, INC. (CRD#:6220) HOUSTON, TX
B
05/02/2008 - 12/31/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
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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.