DS
Deborah L. Sopher
TREK FINANCIAL
BELLAIRE, TX 77401
Some features on this profile are disabled
CRD#: 2736608
DS
Professional summary
Deborah Lynne Sopher, who also goes by Deborah Lynne Green, Deb Sopher, is a registered financial advisor currently at TREK FINANCIAL located in Bellaire, Texas.
Deborah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Deborah has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deborah Lynne Green | Deb Sopher
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Strategic Financial Services (DBA) for RIA Business conducted through BCJ Financial Group; Investment related; 4545 Bissonnet St, Suite 284 Bellaire TX, 77401; Financial Planning and investment advisory services; owner; 160 hours/month; 140 trading hours/month; Financial planning and investment advisory services for clients.
2) Strategic Benefits Solutions (DBA); not investment related; Bissonnet St, Suite 284 Bellaire TX, 77401; group employee benefit sales and service; owner; 20 hours/month; 20 trading hours/month; Sell and Service group employee benefit products to employers.
3) BCJ Capital Management: investment related; 4545 Bissonnet St, suite 284, Bellaire tx 77401; financial planning and investment advisory services; IAR; 10/2010; 120 hours a month; 100 trading hours a month; provide financial planning an investment advisory
40bcj FINANCIAL GROUP; NOT INVESTMENT RELATED; 4545Bissonnet t, suite 204 Bellaire tx 77401; fixed insurance and annuity sales and service; insurance representative; 10/2010; 40 hours a month; 40 trading hours a month; through detailed financial planning with client, perform needs determination for insuranc e for annuity products. Complete evaluation of appropriate product and complete sale. Ongoing service.
CRS (Client Relationship Summary) - RIA
Click below to view Deborah Lynne Sopher's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 4, 2010 - Present
TREK FINANCIAL
Office #1: 4545 Bissonnet Suite 284, Bellaire, TX 77401RIA
CRD#: 109376
BELLAIRE, TX
Past
May 10, 2019 - June 30, 2020
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Bellaire, TX
Past
October 30, 2018 - June 3, 2019
WORLD EQUITY GROUP, INC.
RIA
CRD#: 29087
Bellaire, TX
Past
March 14, 2016 - June 3, 2019
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
Bellaire, TX
Past
October 16, 2007 - March 18, 2016
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BELLAIRE, TX
Past
June 1, 2005 - May 5, 2006
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BELLAIRE, TX
Past
June 1, 2005 - March 18, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BELLAIRE, TX
Past
May 10, 2001 - December 31, 2001
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
NEW YORK, NY
Past
May 29, 1996 - June 1, 2005
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
HOUSTON, TX
Past
May 28, 1996 - June 1, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
Registered Investment Advisory firm - (11/15/2000 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(10/4/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
Registered Investment Advisory firm - (11/15/2000 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 483-1510
Established
Firm type
Fiscal year end
# of Employees
56
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,057 |
| AUM (Assets Under Management) | $ 2,492,708,552 |
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.
