Sophie K. Mcginnis
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.
Sophie Kathryn Mcginnis was a registered financial professional .
Sophie is a previously registered financial professional and started their career in finance in 2022. Sophie had worked at 1 firm and has passed the Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2022 - July 9, 2023
CLASS VI SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 6/3/2022
Investment Banking Registered Representative ExaminationCurrent Firm
CLASS VI SECURITIES, LLC
CRD#: 148772 / SEC#: , 8-68068
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAU HANA INVESTMENTS, LLC | MEMBER | |
| THE SILVERCLOUD COMPANIES, INC | MEMBER | |
| DESCANSO ROAD, LLC | MINORITY MEMBER | |
| GIBSON, ZACHARY E | MANAGING DIRECTOR | 5424913 |
| KRAMERICA INDUSTRIES, LLC | MINORITY MEMBER | |
| LOONSTRUCK, LLC | MINORITY MEMBER | |
| MDBHBC INVESTMENTS, LLC | MINORITY MEMBER | |
| TOLSON, DAVID CHILLINGWORTH JR | MANAGER | 5626792 |
| YOUNGER, CHRISTOPHER JON | MANAGER, CHIEF COMPLIANCE OFFICER | 5626789 |
| ZINNIA STREET, LLC | MINORITY MEMBER |
Red Flags
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