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SS

Sophia G. Swain

LORD, ABBETT & CO.
JERSEY CITY, NJ 07302-4804
Some features on this profile are disabled
CRD#: 7763276
SS
Sophia Grace SwainLORD, ABBETT & CO.

Professional summary

Sophia Grace Swain, who also goes by Sophia Grace Swaiw, is a registered financial advisor currently at LORD, ABBETT & CO. LLC located in Jersey City, New Jersey and LORD ABBETT DISTRIBUTOR LLC located in Jersey City, New Jersey.

Sophia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Sophia has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Sophia Grace Swaiw

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) - RIA

Click below to view Sophia Grace Swain's CRS (Customer Relationship Summary).
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

January 13, 2026 - Present

LORD, ABBETT & CO. LLC

Office #1: 30 Hudson Street, Jersey City, NJ 07302-4804
RIA
CRD#: 110391
JERSEY CITY, NJ
Current

January 13, 2026 - Present

LORD ABBETT DISTRIBUTOR LLC

Office #1: 30 Hudson Street, Jersey City, NJ 07302-4804
BD
CRD#: 530
JERSEY CITY, NJ
Past

September 23, 2024 - January 21, 2026

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA
CRD#: 106693
COHOES, NY
Past

August 23, 2024 - January 21, 2026

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
COHOES, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LA
LORD, ABBETT & CO. LLC
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA
Registered Investment Advisory firm - (11/7/1970 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Louisiana
(3/30/2026)
RR
New Jersey
(1/13/2026)
IAR
New Jersey
(1/13/2026)
RR
Texas
(3/30/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/13/2024
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/23/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/27/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LA
LORD, ABBETT & CO. LLC
LORD ABBETT & CO. LLC | LORD, ABBETT & CO. LLC | LORD, ABBETT & CO.

CRD#: 110391 / SEC#: 801-6997

RIA
Registered Investment Advisory firm - (11/7/1970 Approved)
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Contact information

Main Address
30 Hudson Street, Jersey City, NJ 07302-4804
Mailing Address
Phone number
(201) 827-2000
Established
Firm type
Fiscal year end
# of Employees
821

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (12/22/2025)

Regulatory assets under management

Total Number of Accounts25,798
AUM (Assets Under Management)$ 270,386,783,963

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

LORD, ABBETT & CO. LLC

CRD#: 110391Jersey City, NJ 07302-4804

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