SS
Sophie Y. Song
BARCLAYS CAPITAL
Menlo Park, CA 94025
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CRD#: 7568376
SS
Professional summary
Sophie Yuanchun Song is a registered financial professional currently at BARCLAYS CAPITAL INC. located in Menlo Park, California.
Sophie is registered as a RR (Registered Representative) and started their career in finance in 2025. Sophie has worked at 1 firm and has passed the Series 63, Series 79TO 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 Yuanchun Song'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
March 17, 2025 - Present
BARCLAYS CAPITAL INC.
Office #1: 155 Linfield Drive, Menlo Park, CA 94025BD
CRD#: 19714
Menlo Park, CA
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
California(3/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 3/17/2025
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BARCLAYS CAPITAL INC.
BARCLAYS | WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | WEALTH AND INVESTMENT MANAGEMENT A DIVISION OF BARCLAYS | FUNDS AND ADVISORY-AMERICAS | BZW SECURITIES INC. | BCFS - AMERICAS | BARCLAYS WEALTH AND INVESTMENT MANAGEMENT, AMERICAS | BARCLAYS WEALTH AMERICAS | BARCLAYS WEALTH | BARCLAYS SECURITIES INC. | BARCLAYS SECURITIES INC | BARCLAYS DE ZOETE WEDD SECURITIES INC. | BARCLAYS DE ZOETE WEDD GOVERNMENT SECURITIES, INC. | BARCLAYS CAPITAL INC. | BARCLAYS CAPITAL FUND SOLUTIONS - AMERICAS | BARCLAYS CAPITAL
CRD#: 19714 / SEC#: 801-69700, 8-41342
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
745 7th Avenue, New York, NY 10019-6801
Mailing Address
745 7th Avenue, New York, NY 10019
Phone number
(212) 526-7000
Established
Connecticut since 03/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BARCLAYS CAPITAL INC.
CRD#: 19714Menlo Park, CA 94025TRUST BUT VERIFY
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