Experience

Sonja has been a licensed General Securities Representative since 2001, immersing herself in the financial services industry. She started her career in the Institutional Brokerage world with a focus on fixed income securities.  After 10+ years of fixed income expertise, she evolved into the retail investment RIA/Hybrid RIA sector. While working for one of the fastest growing RIA’s in 2017, she specialized in Model Trading. As the sole trader for a Hybrid RIA with appx. $1Bil AUM she knows the ins and outs of portfolio construction and investment products. Ultimately, she turned her focus to RIA Compliance. She found a passion for compliance oversight and thoroughly enjoys helping RIA’s succeed.

 

Sonja Rae Wall

CCO – President

FINRA licenses:

Series 24 General Securities Principal

Series 4 Registered Options Principal

Series 66 Uniform Combined State Law

Series 53 Municipal Advisor Principal

Series 7 General Securities Representative