SM
Sophie Matthaei
G.DISTRIBUTORS
Rye, NY 10580-1435
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CRD#: 7436405
SM
Professional summary
Sophie Matthaei is a registered financial professional currently at G.DISTRIBUTORS, LLC located in Rye, New York.
Sophie is registered as a RR (Registered Representative) and started their career in finance in 2023. Sophie has worked at 1 firm and has passed the Series 7TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Sophie Matthaei'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®
NoneExperience
Current
December 4, 2023 - Present
G.DISTRIBUTORS, LLC
Office #1: One Corporate Center, Rye, NY 10580-1435BD
CRD#: 155071
Rye, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 7TO
Date: 12/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GL
G.DISTRIBUTORS, LLC
G.DISTRIBUTORS, LLC | GABELLI FUNDS DISTRIBUTOR, LLC
CRD#: 155071 / SEC#: , 8-68697
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Corporate Center, Rye, NY 10580-1435
Mailing Address
One Corporate Center, Rye, NY 10580-1435
Phone number
(914) 921-5000
Established
Delaware since 08/10/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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