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Sophie Johnson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-01-12
CA RA APPROVED 2023-10-13
  • TX RA
    APPROVED
    Since 2024-01-12
  • CA RA
    APPROVED
    Since 2023-10-13

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 08/2022 Present
Smpl Mortgage Pasadena CA 10/2020 06/2022
San Diego State University San Diego CA 08/2017 08/2020
Seasoning Ally Monrovia CA 06/2017 07/2017
San Diego State University San Diego CA 08/2016 08/2020
  • 08/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Los Angeles, CA
  • 10/2020 → 06/2022
    Smpl Mortgage
    Pasadena, CA
  • 08/2017 → 08/2020
    San Diego State University
    San Diego, CA
  • 06/2017 → 07/2017
    Seasoning Ally
    Monrovia, CA
  • 08/2016 → 08/2020
    San Diego State University
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-12
  • S66 Uniform Combined State Law Examination
    2023-10-12
Other Names
  • Sophie Charlotte Peterson

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA
J.P. MORGAN SECURITIES LLC · PASADENA, CA

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