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Inactive

Sophia Nicol Barclay

Awm Capital, LLC

Pasadena, CA

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Current Employers
Awm Capital, Llc

1 N. 1St Street Suite 525, Phoenix, AZ 85004 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-02-09
TX RA APPROVED 2026-02-09
  • CA RA
    APPROVED
    Since 2026-02-09
  • TX RA
    APPROVED
    Since 2026-02-09

Branch Locations

87 E. Green Street Suite 206, Pasadena, CA 91105 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Awm Capital, Llc Pasadena CA 11/2025 Present
Excellent Capital Irvine CA 02/2023 04/2025
Hudson Pacific Brentwood CA 11/2020 02/2023
Cbre Glendale CA 07/2018 11/2020
University Of Alabama Tuscaloosa AL 08/2014 06/2018
N/A Los Angeles CA 05/2025 10/2025
  • 11/2025 → Present
    Awm Capital, Llc
    Pasadena, CA
  • 02/2023 → 04/2025
    Excellent Capital
    Irvine, CA
  • 11/2020 → 02/2023
    Hudson Pacific
    Brentwood, CA
  • 07/2018 → 11/2020
    Cbre
    Glendale, CA
  • 08/2014 → 06/2018
    University Of Alabama
    Tuscaloosa, AL
  • 05/2025 → 10/2025
    N/A
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-01-20
  • S65 Uniform Investment Adviser Law Examination
    2026-01-20

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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