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Sophie Louise Davies

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Information

Firm:
Type: Registered Representative
Description

Sophie Davies is a financial professional at Goldman, Sachs & Co., a broker-dealer with over 7,450 registered representatives nationwide. Sophie has held an industry securities registration for less than a year and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Goldman Sachs 3 years, 5 months Jul 2011 - Present
Cambridge University 2 years, 9 months Oct 2008 - Jul 2011
Rothschild 6 months Apr 2008 - Oct 2008
Deloitte 1 year, 8 months Aug 2007 - Apr 2009
Caterham School 1 year, 10 months Sep 2005 - Jul 2007
Croydon High School 7 years, 11 months Sep 1999 - Aug 2007
Exams
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 12/07/2011
Uniform Securities Agent State Law ExaminationSeries 63 11/16/2011

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Sophie Louise Davies has not answered any questions on Financial Q&A.

Top Guides

Sophie Louise Davies has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Other
Pension and Profit Sharing Plans
Charitable Organizations
Other Pooled Investment Vehicles
Corporations or Other Businesses
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
10/24/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Performance-based Fees
  • Other: EXECUTION CHARGES, CUSTODY, CONSOLIDATED REPORTS, MANAGEMENT FEE