Sofia L. Figueroa
Professional summary
Sofia Liana Figueroa, CFP®, who also goes by Sofia Liana Buffett, Sofia Liana Figueroa, is a registered financial advisor currently at ELLEVEST located in Albuquerque, New Mexico.
Sofia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Sofia has worked at 2 firms and has passed the Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sofia Liana Figueroa's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2020 - Present
ELLEVEST
June 25, 2018 - November 19, 2020
MORGAN STANLEY
May 24, 2018 - November 19, 2020
MORGAN STANLEY
Primary Firm SEC Registration
ELLEVEST
CRD#: 175476 / SEC#: 801-106683
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/13/2020)
(8/31/2021)
(11/13/2020)
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
ELLEVEST
CRD#: 175476 / SEC#: 801-106683
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 344 |
| AUM (Assets Under Management) | $ 1,012,582,923 |
Red Flags
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