Sophia M Thomas
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
10 yearsExperience
1 stateRegistered in
$1.8TFirm assets
47 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 assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2024 to now
- University of Southern CaliforniaAug 2023 to Jun 2024
- PimcoJun 2023 to Aug 2023
- University of Southern CaliforniaAug 2022 to Jun 2023
- D.A. DavidsonJun 2022 to Aug 2022
- University of Southern CaliforniaAug 2021 to Jun 2022
- D.A. DavidsonJun 2021 to Aug 2021
- University of Southern CaliforniaAug 2020 to Jun 2021
- Mater Dei High SchoolAug 2018 to Aug 2020
- Balboa Bay Club & ResortJun 2018 to Aug 2018
- Mater Dei High SchoolAug 2016 to Jun 2018
Exams passed
- Series 66 · Uniform Combined State Law2026
State registrations
Registered as an investment adviser representative in 1 state (CA).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 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
- 7214739
- Firm CRD
- 7691