Sophia Shluger
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 Shluger was a registered financial professional .
Sophia is a previously registered financial professional and started their career in finance in 2005. Sophia had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 79, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2021 - November 22, 2022
PASSFOLIO SECURITIES, LLC
November 9, 2020 - February 17, 2021
XP INVESTMENTS US, LLC
August 24, 2018 - February 8, 2019
SANTANDER INVESTMENT SECURITIES INC.
January 6, 2011 - August 24, 2012
SANTANDER INVESTMENT SECURITIES INC.
May 21, 2010 - September 27, 2010
FATOR SECURITIES LLC
September 5, 2005 - June 17, 2009
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/23/2021
General Securities Representative ExaminationCurrent Firm
PASSFOLIO SECURITIES, LLC
CRD#: 299874 / SEC#: , 8-70262
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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