James Sophia is a registered investment advisor, based in Chicago, IL, with 25 years of industry experience.
Location
303 E. Wacker Drive, Ste 500, Chicago, IL, 60601
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Regulatory History (7)
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Financial
April 2025Final
Employment Separation After Allegations
January 2025Customer Dispute
May 2024Settled
Customer Dispute
December 2020Dismissed
Customer Dispute
September 2011Settled
Customer Dispute
October 2008Denied
Customer Dispute
February 2002Denied
Employment History
Current Registrations
Bankers Life Securities, INC.Broker
February 2026 - Present · 7 mos
Bankers Life Advisory Services, INC.
February 2026 - Present · 7 mos
Previous Registrations
Vanderbilt Advisory Services
January 2025 - March 2025 · 2 mos
Vanderbilt Securities, LLCBroker
January 2025 - March 2025 · 2 mos
Morgan Stanley
January 2019 - January 2025 · 6 yrs
Morgan StanleyBroker
January 2019 - January 2025 · 6 yrs
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2007 - January 2019 · 11 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2007 - January 2019 · 11 yrs 3 mos
UBS Financial Services INC.
January 2003 - October 2007 · 4 yrs 9 mos
UBS Financial Services INC.Broker
October 2002 - October 2007 · 5 yrs
Wachovia Securities, INC.Broker
June 1999 - November 2002 · 3 yrs 5 mos
State Registrations1 state
OH
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.