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234 1St Street, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2021-04-13 |
Branch Locations
234 1St Street, San Francisco, CA 94105 • United States
Swedesboro, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital One Investing | Wilmington | DE | 02/2016 | 03/2019 |
| Sofi Securities Llc | Cottonwood Heights | UT | 03/2021 | Present |
| Sofi Wealth Llc | Cottonwood Heights | UT | 03/2021 | Present |
| Wsfs | Wilimington | DE | 06/2019 | 03/2021 |
| N/A | Swedesboro | NJ | 04/2019 | 06/2019 |
| Composer Securities Llc | Cottonwood Heights | UT | 07/2026 | Present |
NAME OF OTHER BUSINESS: SoFi Securities LLC; INVESTMENT RELATED: Yes; ADDRESS: 2750 E Cottonwood Parkway, #300, Cottonwood Heights, Utah, 84121, USA; NATURE OF BUSINESS: Investing; POSITION: Trading Ops; START DATE: 03/2021; HOURS PER MONTH: 66; HOURS DURING SECURITIES TRADING HOURS: 35; DUTIES: Trading Operations. Trading, trade review, reconciliation, corporate actions. NAME OF OTHER BUSINESS: SoFi Wealth LLC; INVESTMENT RELATED: Yes; ADDRESS: 2750 E Cottonwood Parkway, Suite #300, Cottonwood Heights, Utah, 84121, USA; NATURE OF BUSINESS: Investing; POSITION: Trading Ops; START DATE: 03/2021; HOURS PER MONTH: 66; HOURS DURING SECURITIES TRADING HOURS: 35; DUTIES: Trading Operations. Trading Operations. Trading, trade review, reconciliation, corporate actions.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 2017-03-02 |
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