Stephen S. Sofoul
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.
Stephen Scott Sofoul, who also goes by Stephen Sofoul, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2005. Stephen had worked at 4 firms and has passed the Series 65, Series 63 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
August 27, 2012 - May 20, 2016
ALPHA DYNAMICS LLC
April 8, 2011 - July 10, 2012
LPL FINANCIAL LLC
March 31, 2011 - July 10, 2012
LPL FINANCIAL LLC
January 24, 2008 - March 31, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
July 25, 2005 - October 6, 2010
WORLD GROUP SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPHA DYNAMICS LLC
CRD#: 157382 / SEC#: 801-72647
Contact information
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.
