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SOPHIA ASLAM
SOPHIA SABREEN
CRD#: 4245624
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 266 MERRICK RD
LYNBROOK, NY 11563
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)3 FIRMS2006 - 2006 (<1 year)2 FIRMS2006 - 2008 (2 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2023 (10 years)2 FIRMS2023 - Present (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2001 - 2005 (3 years)BABN AMRO FINANCIAL SERVICES, INC. (CRD# 20373)2000 - 2001 (<1 year)IACITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2005 (<1 year)
License(s)

State Registrations

B
Florida 7/17/2024

IA
New York 3/31/2023

B
New Jersey 3/31/2023

B
North Carolina 11/19/2024

B
New York 3/31/2023

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

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
266 MERRICK RD, LYNBROOK, NY 11563
Registered with this firm since 3/31/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
266 MERRICK RD, LYNBROOK, NY 11563
Registered with this firm since 3/31/2023

Previous Registration(s)
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IA
10/01/2012 - 04/20/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) LAWRENCE, NY
B
10/01/2012 - 04/20/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) LAWRENCE, NY
IA
07/20/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LAWRENCE, NY
B
07/13/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LAWRENCE, NY
IA
11/16/2006 - 12/08/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
11/01/2006 - 12/08/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
11/03/2006 - 11/15/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) NEW YORK, NY
IA
04/26/2006 - 10/24/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ROCKVILLE CENTRE, NY
B
04/26/2006 - 10/24/2006 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ROCKVILLE CENTRE, NY
IA
02/09/2005 - 03/02/2006 NORTH FORK FINANCIAL ADVISORS LLC (CRD#:127236) MELVILLE, NY
B
02/16/2005 - 03/02/2006 NFB INVESTMENT SERVICES CORP. (CRD#:25658) MELVILLE, NY
IA
10/18/2004 - 02/17/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) MANHASSET, NY
B
09/07/2001 - 02/17/2005 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
11/30/2000 - 08/22/2001 ABN AMRO FINANCIAL SERVICES, INC. (CRD#:20373) CHICAGO, IL
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B
Broker
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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.