Sofia Carol Shah
Investment Adviser Representative at Transamerica Financial Advisors, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Sofia Carol Shah is an investment adviser representative with Transamerica Financial Advisors, LLC in Las Vegas, NV, where they have been registered since 2012. They have worked in the securities industry since 2010 and were previously registered with Investment Advisors International, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in California and Nevada.
Registrations & licenses
- Investment adviser:
- California, Nevada
- Broker:
2 states and territories
California, Nevada
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- World Financial Group, Inc.Oct 2009 – no end date reportedLas Vegas, NV
- Transamerica Financial Advisors, IncJan 2012 – no end date reportedLas Vegas, NV
- Sofia SHAH Inc.Apr 2012 – Jan 2020Woodland Hills, CA
- ALL FOR ONE FoundationAug 2016 – no end date reportedAlpharetta, GA
- Dynasty Leadership IncorporatedJan 2019 – no end date reportedLas Vegas, NV
- College Loan FreedomJun 2020 – no end date reportedHenderson, NE
- TransformindshiftMar 2021 – no end date reportedLas Vegas, NV
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Transamerica Financial Advisors, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,109
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Philadelphia, PA
- SEC file number:
- 801-38618
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at Transamerica Financial Advisors, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Sofia Carol Shah has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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