Sophia Harding

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → 01/2019
  City National Securities
  San Francisco, CA
• 02/2019 → 12/2023
  Columbia Bank
  Medford, OR
• 02/2019 → 04/2021
  Umpqua Investments, Inc
  Medford, OR
• 10/2022 → 10/2023
  Cetera Investment Services Llc
  St Cloud, MN
• 10/2022 → 10/2023
  Cetera Investment Advisers Llc
  Medford, OR
• 06/2024 → Present
  Raymond James Financial Services, Inc.
  Medford, OR
• 06/2024 → Present
  Raymond James Financial Services Advisors, Inc.
  Medford, OR
• 07/2023 → Present
  Umpqua Bank
  Medford, OR
• 02/2019 → 03/2023
  Steward Partners Investment Solutions, Llc
  Medford, OR
• 06/2016 → 08/2016
  Unemployed
  San Francisco, CA
• 06/2014 → 05/2016
  Wells Fargo Advisors, Llc
  Unemployed, CA
• 07/2024 → Present
  Columbia Wealth Advisors
  Medford, OR

Previous Registrations

• 2023-03-05 → 2023-10-18
  Cetera Investment Advisers Llc
  Medford, OR
• 2019-03-01 → 2023-03-02
  Steward Partners Investment Solutions, Llc
  Medford, OR
  Medford, OR
• 2016-08-23 → 2019-01-30
  Rbc Securities, Inc
  San Francisco, CA
• 2014-08-15 → 2016-06-02
  Wells Fargo Clearing Services, Llc
  Minneapolis, MN
  San Francisco, CA
• 2006-10-30 → 2009-12-31
  Northern Trust Securities, Inc.
  Chicago, IL
• 2003-09-08 → 2006-06-05
  Morgan Stanley Dw Inc.
  Chicago, IL

Other Businesses

(1)Name of Business: AskAdelyne LLC Address: 1607 Williams Highway, Grants Pass, OR, 97527, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 01/31/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Candle maker and energy healer (2)Name of Business: Columbia Wealth Advisors Address: 1211 E McAndrews Rd, Medford, OR, 97504-6103, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 07/17/2024 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 11-20 Description of duties: Refer investment business to financial advisor at CWA

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-08-15
• S66 Uniform Combined State Law Examination
  2003-04-04

Other Names

• Sophia Seow Peng Gellen
• Seow Peng Gellen
• Sophia Seow Peng Gellen
• Sophia Gellen
• Sophia Seow Peng Yeow