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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 7,300 registered representatives nationwide. Sophie has held an industry securities registration for less than a year and is subject to FINRA oversight.

BrightScope Advisor Metrics

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
Corporations or Other Businesses
Pension and Profit Sharing Plans
Charitable Organizations
Other Pooled Investment Vehicles
Other Investment Advisors
Insurance Companies

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

Experience and Employment History

Employer Years Dates
Goldman Sachs 2 years, 9 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
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

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.

Advisor Exams

Exam Series Passed Date
General Securities Representative Examination Series 7 12/07/2011
Uniform Securities Agent State Law Examination Series 63 11/16/2011

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: (6) Performance-based fees
  • Other: EXECUTION CHARGES, CUSTODY, CONSOLIDATED REPORTS, MANAGEMENT FEE