Sophia Swain is a registered investment advisor, based in Jersey City, NJ, with 1 years of industry experience.
Location
30 Hudson Street, Jersey City, NJ, 07302-4804
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Sophia works as a freelance swimming instructor, a babysitter, and sells merchandise on Depop. These activities are not investment-related and take minimal time overall.
Employment History
Current Registrations
Lord, Abbett & CO. LLC
January 2026 - Present · 4 mos
Lord Abbett Distributor LLCBroker
January 2026 - Present · 4 mos
Previous Registrations
Goldman Sachs Wealth Services, L.P.
September 2024 - January 2026 · 1 yr 4 mos
Goldman Sachs & CO. LLCBroker
August 2024 - January 2026 · 1 yr 5 mos
State Registrations1 state
NJ
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.