Sophia has more than 15 years of expertise in senior regulatory, compliance and legal counsel roles in the financial services industry. She brings extensive experience in investment adviser, broker-dealer, private funds, 1940 Act funds and regulatory and compliance matters.
She holds a B.A. from New York University and a J.D. from Hofstra University School of Law. She is an active member of the New York State Bar and holds the FINRA Series 7, 66 and 24 licenses.