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SP

Sofia Paloka

VEST SECURITIES
Mclean, VA 22101
Some features on this profile are disabled
CRD#: 7406857
SP

Professional summary

Sofia Paloka is a registered financial professional currently at VEST SECURITIES, LLC located in Mclean, Virginia.

Sofia is registered as a RR (Registered Representative) and started their career in finance in 2021. Sofia has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sofia Paloka'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®
None

Experience

Current

March 22, 2023 - Present

VEST SECURITIES, LLC

Office #1: 8350 Broad Street Suite 240, Mclean, VA 22101
BD
CRD#: 317379
Mclean, VA
Past

December 4, 2021 - October 26, 2022

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Chicago, IL
Past

September 20, 2021 - October 26, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Chicago, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(3/22/2023)
RR
Michigan
(8/15/2023)
RR
Virginia
(3/22/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/4/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/18/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/15/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VEST SECURITIES, LLC
VEST SECURITIES, LLC

CRD#: 317379 / SEC#: , 8-70829

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
8350 Broad Street Suite 240, Mclean, VA 22101
Mailing Address
8350 Broad Street Suite 240, Mclean, VA 22101
Phone number
(855) 979-6060
Established
Delaware since 03/19/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VEST GROUP, INC.SOLE MEMBER
BRANT, DAVID ROBERTFINOP/PFO/POO2718478
CHANG, JEFFERY YI-BINGPRESIDENT5034993
PORTWOOD, WILLIAM BOYCECHIEF COMPLIANCE OFFICER4853700
SOOD, KARANCHIEF EXECUTIVE OFFICER5256243

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.

Company Information

VEST SECURITIES, LLC

CRD#: 317379Mclean, VA 22101

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