Sonia D. Bui
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.
Sonia Duy Bui, who also goes by Sonia Bui, was a registered financial professional .
Sonia is a previously registered financial professional and started their career in finance in 2014. Sonia had worked at 2 firms and has passed the Series 65, SIE 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
August 26, 2015 - December 31, 2025
ICONIQ CAPITAL, LLC
August 20, 2014 - October 31, 2014
FIRST REPUBLIC SECURITIES COMPANY, LLC
Primary Firm SEC Registration
ICONIQ CAPITAL, LLC
CRD#: 159198 / SEC#: 801-72878
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ICONIQ CAPITAL, LLC
CRD#: 159198 / SEC#: 801-72878
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,537 |
| AUM (Assets Under Management) | $ 95,050,705,302 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 12/20/2024 | ||
| 01/25/2024 | ||
| 02/23/2023 |
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.
