Michael Sofka, financial advisor Westlake OH
89 score

Michael Sofka

CRD Number: 5536213
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Michael Sofka (CRD# 5536213) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Westlake, OH and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Westlake, OH Jul 2013 - Current 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Westlake, OH Feb 2013 - Current 3
Oeb Group Austin, TX Mar 2012 - Jan 2013 < 1
Oeb Group Chicago, IL Apr 2011 - Apr 2012 1
Entertainment Cruises Chicago, IL Apr 2010 - Jun 2011 1
Vail Resorts Vail, CO Nov 2009 - Apr 2010 < 1
Entertainment Cruises Chicago, IL May 2009 - Nov 2009 < 1
Loyola University Chicago Chicago, IL Sep 2005 - May 2009 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jun 2013
Contact Info for Michael P. Sofka
Phone Number: 800-637-7455
Registered State(s):
  • OH
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
89
Clean Record
This advisor has a clean track record with regulators.

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