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Detailed Report
SOPHIA S LIU
CRD#: 4967762
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2015 (6 years)2 FIRMS2015 - 2024 (8 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Arizona 10/8/2024
B
Oregon 10/8/2024
B
California 6/14/2024
B
Texas 10/8/2024
IA
California 6/14/2024
IA
Texas 10/19/2024
B
Nevada 10/8/2024
B
Washington 10/8/2024
B
New York 10/8/2024

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)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 6/14/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 6/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/02/2015 - 06/04/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) Los Angeles, CA
B
 10/02/2015 - 06/04/2024 UBS FINANCIAL SERVICES INC. (CRD#:8174) Los Angeles, CA
IA
 06/01/2009 - 10/07/2015 MORGAN STANLEY (CRD#:149777) BEVERLY HILLS, CA
B
 06/01/2009 - 10/07/2015 MORGAN STANLEY (CRD#:149777) BEVERLY HILLS, CA
IA
 11/13/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BEVERLY HILLS, CA
B
 11/13/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BEVERLY HILLS, CA
IA
 11/07/2006 - 10/02/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) PASADENA, CA
B
 09/26/2006 - 10/02/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
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.