Sofia Towne
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.
Sofia Towne, who also goes by Sofia Estrada, Sophia Estrada, was a registered financial professional .
Sofia is a previously registered financial professional and started their career in finance in 1998. Sofia had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2011 - April 7, 2015
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 19, 2010 - May 11, 2011
GOLDMAN SACHS & CO. LLC
November 6, 2003 - November 9, 2005
KESTRA INVESTMENT SERVICES, LLC
April 17, 2003 - November 13, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 7, 2000 - December 4, 2001
LAZARD FRERES & CO. LLC
August 25, 1998 - November 17, 1998
FRANKLIN/TEMPLETON DISTRIBUTORS, 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
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
CRD#: 3466 / SEC#: , 8-526
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | LIMITED PARTNER | |
| CHARTRES, JOHN H | CHIEF FINANCIAL OFFICER | 4543106 |
| CRIGHTON, ALICIA ANNE | CHIEF OPERATIONS OFFICER | 4643104 |
| CZEPIEL, KYLE ROBERT | CO-CHIEF EXECUTIVE OFFICER | 2360785 |
| FUREY, TIMOTHY TODD | CO-CHIEF EXECUTIVE OFFICER | 2609753 |
| GOLDMAN SACHS HOLDING COMPANY LLC | GENERAL PARTNER | |
| JACK, KATHLEEN | CHIEF COMPLIANCE OFFICER | 2547676 |
Disclosures
| Regulatory Event | 150 |
| Arbitration | 1 |
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.
