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Detailed Report
SOFIA ELIZABETH GUERRA
Sofia Guerra
CRD#: 7501375
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 KATY, TX
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 12532 MEMORIAL DRIVE
HOUSTON, TX 77024
Registration History
JulOct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct2026IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2024 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 1/4/2025
B
Nebraska 1/4/2025
B
Alaska 1/4/2025
B
Nevada 1/4/2025
B
Arizona 3/2/2023
B
New Hampshire 1/4/2025
B
Arkansas 1/4/2025
B
New Jersey 3/2/2023
B
California 3/2/2023
B
New Mexico 1/4/2025
B
Colorado 3/2/2023
B
New York 3/2/2023
B
Connecticut 3/2/2023
B
North Carolina 3/2/2023
B
Delaware 1/4/2025
B
North Dakota 1/4/2025
B
District of Columbia 1/4/2025
B
Ohio 3/3/2023
B
Florida 3/2/2023
B
Oklahoma 1/4/2025
B
Georgia 3/2/2023
B
Oregon 1/4/2025
B
Hawaii 1/4/2025
B
Pennsylvania 3/2/2023
B
Idaho 1/4/2025
B
Puerto Rico 1/4/2025
B
Illinois 3/2/2023
B
Rhode Island 1/4/2025
B
Indiana 3/2/2023
B
South Carolina 1/4/2025
B
Iowa 1/4/2025
B
South Dakota 1/4/2025
B
Kansas 1/4/2025
B
Tennessee 1/4/2025
B
Kentucky 1/4/2025
B
Texas 10/17/2022
B
Louisiana 1/4/2025
IA
Texas 9/20/2024
B
Maine 1/4/2025
B
Utah 1/4/2025
B
Maryland 3/2/2023
B
Vermont 1/4/2025
B
Massachusetts 3/2/2023
B
Virgin Islands 1/4/2025
B
Michigan 3/2/2023
B
Virginia 3/2/2023
B
Minnesota 3/2/2023
B
Washington 3/2/2023
B
Mississippi 1/4/2025
B
West Virginia 1/4/2025
B
Missouri 3/2/2023
B
Wisconsin 3/2/2023
B
Montana 1/4/2025
B
Wyoming 1/4/2025

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)
KATY, TX
12532 MEMORIAL DRIVE, HOUSTON, TX 77024-6000
Registered with this firm since 9/20/2024
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
12532 MEMORIAL DRIVE, HOUSTON, TX 77024
KATY, TX
Registered with this firm since 6/28/2022
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.