Sophia Lee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sophia Lee, who also goes by Sophia Yee, was a registered financial professional .
Sophia is a previously registered financial professional and started their career in finance in 1993. Sophia had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2014 - April 22, 2021
IEX SERVICES LLC
June 30, 2004 - May 7, 2014
LIQUIDNET, INC.
October 26, 2000 - June 28, 2004
VIRTU ITG LLC
June 30, 1993 - September 3, 1993
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IEX SERVICES LLC
CRD#: 167872 / SEC#: , 8-69280
Contact information
FINRA licenses (3 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
