Sophearath UoyCRD Number: 6644420
Current Firm: Ip Financial Advisory Services LLC
Sophearath Uoy (CRD# 6644420) is an Investment Advisor Representative working at Ip Financial Advisory Services LLC in Charlotte, NC and has over 3 years of experience in the finance industry.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Ubs Financial Services Inc.
|Ip Financial Advisory Services||Charlotte, NC||Jan 2020 - Current||1|
|Innovation Partners LLC||Charlotte, NC||Jun 2016 - Current||5|
|Sophearath Uoy, Cpa, P.c.||Manassas, VA||Aug 2015 - Current||6|
|Self-employed||Ashburn, VA||Apr 2009 - Jul 2015||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 2018|
|S65||NASAA Investment Advisors Law Examination||Nov 2018|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management115MILLIONS
Total Number of Accounts543ACCOUNTS
Average Account Value$211,294
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, LA, MA, MD, MI, MN, MO, MS, MT, NC, ND, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, WA, WI
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