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SP

Sophie V. Panzner

Some features on this profile are disabled
CRD#: 4877438
SP

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.

Sophie Victoria Panzner was a registered financial professional .

Sophie is a previously registered financial professional and started their career in finance in 2005. Sophie had worked at 5 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 9, 2011 - May 22, 2012

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

May 7, 2009 - May 5, 2011

PANMURE LIBERUM INC

BD
CRD#: 148135
NEW YORK, NY
Past

June 3, 2008 - April 22, 2009

NATIXIS SECURITIES AMERICAS LLC

BD
CRD#: 1101
NEW YORK, NY
Past

August 1, 2006 - September 19, 2007

NATIXIS SECURITIES NORTH AMERICA INC.

BD
CRD#: 28722
NEW YORK, NY
Past

July 21, 2005 - July 19, 2006

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 3/10/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 2/22/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 12/20/2004
General Securities Representative Examination

Current Firm

CG
CANACCORD GENUITY SECURITIES LLC
C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) | UNTERBERG, HARRIS & DE SANTIS L.P. | UNTERBERG HARRIS, L.P. | COLLINS STEWART LLC. | COLLINS STEWART LLC | CANACCORD GENUITY SECURITIES LLC | C.E. UNTERBERG,TOWBIN ADVISERS LLC | C.E. UNTERBERG, TOWBIN, LLC. | C.E. UNTERBERG, TOWBIN LLC

CRD#: 24790 / SEC#: , 8-41403

BD
Terminated by SEC on 11/27/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/01/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COLLINS STEWART INC.HOLDING COMPANY
GREEN, HOWARD MICHAELEXECUTIVE COMMITTEE MEMBER, CFO2535812
SORRENTINO, RICHARD ANTHONYCHIEF COMPLIANCE OFFICER430898
TOTH, STEPHEN MICHAELEXECUTIVE COMMITTEE MEMBER, COO2867919
WHALING, MARK DRISCOLLEXECUTIVE COMMITTEE MEMBER, PRESIDENT3100523

Disclosures

Regulatory Event21
Arbitration1

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.

Company Information

CANACCORD GENUITY SECURITIES LLC

CRD#: 24790

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