Sophie L. Umansky
Professional summary
Sophie Liat Umansky, who also goes by Sophie Umansky, is a registered financial professional currently at NPM SECURITIES, LLC located in New York, New York.
Sophie is registered as a RR (Registered Representative) and started their career in finance in 2020. Sophie has worked at 4 firms and has passed the Series 66, Series 99TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sophie Liat Umansky's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2023 - Present
NPM SECURITIES, LLC
Office #1: 3 East 28th Street 7th Floor, New York, NY 10016June 14, 2022 - May 17, 2023
EQUITYZEN SECURITIES LLC
June 8, 2021 - June 1, 2022
ETORO USA SECURITIES INC.
January 1, 2021 - June 8, 2021
MORGAN STANLEY
January 27, 2020 - June 8, 2021
MORGAN STANLEY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/14/2023)
(6/14/2023)
Exams
Series 99TO
Date: 6/14/2023
Operations Professional ExaminationSeries 7TO
Date: 1/27/2020
General Securities Representative ExaminationFINRA
Current Firm
NPM SECURITIES, LLC
CRD#: 168469 / SEC#: , 8-69312
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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