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Sophie Stevens
39 Years of Experience
West Hartford, CT
1 DisclosureBroker
Sophie Stevens is a registered investment advisor at Morgan Stanley, based in West Hartford, CT, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
433 South Main Street, West Hartford, CT, 06110
Get directionsHistory
Regulatory History (1)
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Customer Dispute
August 2025Settled
Employment History
Current Registrations
Morgan StanleyBroker
December 2022 - Present · 3 yrs 7 mos
Morgan Stanley
December 2022 - Present · 3 yrs 7 mos
Previous Registrations
Raymond James Financial Services, INC.Broker
October 2019 - December 2022 · 3 yrs 2 mos
Raymond James Financial Services Advisors, INC
October 2019 - December 2022 · 3 yrs 2 mos
LPL Financial LLC
February 2008 - October 2019 · 11 yrs 8 mos
LPL Financial LLCBroker
February 2008 - October 2019 · 11 yrs 8 mos
Infinex Investments, INC.
March 2001 - February 2008 · 6 yrs 11 mos
Infinex Investments, INC.Broker
November 2000 - February 2008 · 7 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1996 - November 2000 · 4 yrs 8 mos
Smith Barney INC.Broker
March 1987 - March 1996 · 9 yrs
State Registrations36 states
AKALAZCACOCTDCFLGAINLAMAMDMEMIMNMOMSMTNCNHNJNMNVNYOHORPARISCTNTXUTVAVTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.