Sophie Nhi Sulimowicz
Investment Adviser Representative at Charles Schwab & Co., Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Sophie Nhi Sulimowicz is an investment adviser representative with Charles Schwab & Co., Inc. in De Kalb, TX, where they have been registered since 2020. They have worked in the securities industry since 2020 and were previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 9 (options sales supervisor). They are registered to provide investment advice in Texas.
Registrations & licenses
- Investment adviser:
- Texas
- Broker:
1 state or territory
Texas
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.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2019 – Dec 2020Plano, TX
- Bank of America N.A.May 2019 – Dec 2020Plano, TX
- Fidelity InvestmentsOct 2018 – May 2019Westlake, TX
- Wells FargoJul 2017 – Oct 2018Grand Prairie, TX
- Coach Inc. - TapestryNov 2016 – Jun 2017Grand Prairie, TX
- TNPC Financial GroupNov 2015 – Nov 2016Arlington, TX
- Dallas County Community College DistrictAug 2015 – May 2019Dallas, TX
- Pennsylvania State UniversityAug 2019 – May 2022University Park, PA
- Coach Inc. - TapestryDec 2017 – Dec 2017Grand Prairie, TX
- Charles Schwab & Co., Inc.Dec 2020 – Jul 2026Westlake, TX
- Oppenheimer & Co. Inc.Jul 2026 – no end date reportedDallas, TX
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Charles Schwab & Co., Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
- Firm account minimum
- $500,000
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
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Sophie Nhi Sulimowicz 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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