Sophia B. Daigle
GEN Y PLANNING
Austin, TX
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CRD#: 5499671
Professional summary
Sophia Bera Daigle, CFP®, who also goes by Sophia J Bera, Sophia Jozefa Bera, Sophia Jozefa Carlson Bera, is a registered financial advisor currently at GEN Y PLANNING located in Austin, Texas.
Sophia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Sophia has worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sophia J Bera | Sophia Jozefa Bera | Sophia Jozefa Carlson Bera
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. 2013-PRESENT: FREELANCE AUTHOR, EDITOR AND SPEAKER/CRYSTAL, MN/NOT INVESTMENT RELATED/FIVE PERCENT OF LESS TIME EACH MONTH/MAY OCCUR DURING TRADITIONAL MARKET HOURS. 2. 04/2016 - Present, Sophia Bera LLC, Austin, TX; Speaking engagements and seminars on general financial planning topics; Owner; 2 hours/week, none during trading hours; Not investment related; Prepare and deliver talks and seminars related to general financial planning topics.
CRS (Client Relationship Summary) - RIA
Click below to view Sophia Bera Daigle'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®
CFP®
Start date: 2010
Experience
Current
January 16, 2014 - Present
GEN Y PLANNING
RIA
CRD#: 167656
Austin, TX
Past
September 17, 2017 - September 26, 2018
ELLEVEST
RIA
CRD#: 175476
NEW YORK, NY
Past
January 18, 2013 - May 24, 2013
LEARNVEST PLANNING SERVICES, LLC
RIA
CRD#: 162453
CRYSTAL, MN
Past
April 25, 2008 - March 26, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
MEDICINE LAKE, MN
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
California(4/28/2015)
IAR
Florida(8/16/2022)
IAR
Illinois(5/20/2021)
IAR
Massachusetts(8/5/2022)
IAR
Minnesota(1/16/2014)
IAR
New Jersey(9/28/2022)
IAR
New York(7/12/2021)
IAR
Pennsylvania(9/6/2022)
IAR
Texas(4/3/2014)
IAR
Washington(4/14/2021)
Exams
General Industry/Product Exam
Current Firm
GY
GEN Y PLANNING
BERA, SOPHIA JOZEFA CARLSON | GEN Y PLANNING LLC | GEN Y PLANNING L.L.C. | GEN Y PLANNING
CRD#: 167656 / SEC#:
California
Registered Investment Advisory firm - (4/28/2015 Approved)Colorado
Registered Investment Advisory firm - (12/8/2021 Terminated)Florida
Registered Investment Advisory firm - (8/16/2022 Approved)Illinois
Registered Investment Advisory firm - (5/20/2021 Approved)Iowa
Registered Investment Advisory firm - (12/8/2021 Terminated)Louisiana
Registered Investment Advisory firm - (1/4/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (8/5/2022 Approved)Minnesota
Registered Investment Advisory firm - (5/24/2013 Approved)New Jersey
Registered Investment Advisory firm - (9/28/2022 Approved)New York
Registered Investment Advisory firm - (1/2/2015 Approved)North Carolina
Registered Investment Advisory firm - (12/17/2018 Terminated)Oklahoma
Registered Investment Advisory firm - (12/31/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/6/2022 Approved)Texas
Registered Investment Advisory firm - (4/3/2014 Approved)Washington
Registered Investment Advisory firm - (4/14/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Austin, TX
Mailing Address
1401 Lavaca Street Pmb 47955, Austin, TX 78701
Phone number
(612) 790-7955
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 282 |
| AUM (Assets Under Management) | $ 36,726,693 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
