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Detailed Report
Sophia A Abrams
Sophia Ann Elliott
CRD#: 7217928
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 400 4TH ST
LAKE OSWEGO, OR 97034
Registration History
2021202220232024202520262 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 3/15/2022
B
Nebraska 3/15/2022
B
Alaska 3/15/2022
B
Nevada 7/11/2021
B
Arizona 5/28/2021
B
New Hampshire 3/15/2022
B
Arkansas 3/15/2022
B
New Jersey 3/15/2022
B
California 5/25/2021
B
New Mexico 3/15/2022
IA
California 5/25/2021
B
New York 3/15/2022
B
Colorado 3/15/2022
B
North Carolina 3/15/2022
B
Connecticut 3/15/2022
B
North Dakota 3/15/2022
B
Delaware 3/15/2022
B
Ohio 3/15/2022
B
District of Columbia 3/15/2022
B
Oklahoma 3/15/2022
B
Florida 7/11/2021
B
Oregon 7/11/2021
B
Georgia 3/15/2022
B
Pennsylvania 3/15/2022
B
Hawaii 3/15/2022
B
Puerto Rico 3/15/2022
B
Idaho 7/11/2021
B
Rhode Island 3/15/2022
B
Illinois 3/15/2022
B
South Carolina 3/15/2022
B
Indiana 3/15/2022
B
South Dakota 3/15/2022
B
Iowa 1/14/2022
B
Tennessee 3/15/2022
B
Kansas 3/15/2022
B
Texas 7/11/2021
B
Kentucky 3/15/2022
IA
Texas 7/15/2021
B
Louisiana 3/15/2022
B
Utah 3/2/2022
B
Maine 3/15/2022
B
Vermont 3/15/2022
B
Maryland 3/15/2022
B
Virgin Islands 3/15/2022
B
Massachusetts 3/15/2022
B
Virginia 10/20/2021
B
Michigan 3/15/2022
B
Washington 7/11/2021
B
Minnesota 3/15/2022
B
West Virginia 3/15/2022
B
Mississippi 3/15/2022
B
Wisconsin 3/15/2022
B
Missouri 3/15/2022
B
Wyoming 3/15/2022
B
Montana 3/15/2022

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)
400 4TH ST, LAKE OSWEGO, OR 97034
Registered with this firm since 5/25/2021
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
400 4TH ST, LAKE OSWEGO, OR 97034
Registered with this firm since 3/16/2021
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.