James Richard Sophia
Investment adviser representative at Bankers Life Advisory Services, Inc.
19 yearsExperience
1 stateRegistered in
$2.5BFirm assets
10 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
19 years in the industry.
- Bankers Life Advisory Services, Inc.Feb 2026 to now
- Bankers Life Securities, IncFeb 2026 to now
- Bankers Life & Casualty, IncOct 2025 to now
- Grandview ConsultingJan 2025 to Oct 2025
- Morgan Stanley Private Bank, N.A.Feb 2019 to Jan 2025
- Morgan StanleyJan 2019 to Jan 2025
- Bank of America, N.A.Jun 2011 to Jan 2019
- Merrill Lynch, Pierce, Fenner & SmithOct 2007 to Jan 2019
Exams passed
- Series 63 · Uniform Securities Agent State Law1999
- Series 65 · Uniform Investment Adviser Law1999
State registrations
Registered as an investment adviser representative in 1 state (OH).
Bankers Life Advisory Services, Inc.
$2.5BAssets managed
14,314Clients
533Advisers
10 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 3222645
- Firm CRD
- 281285