Alex Baker

Sofi Wealth LLC

Cottonwood Heights, UT

San Francisco, CA

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Current Employers

Sofi Wealth Llc

234 1St Street, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2025-03-03

UT RA
APPROVED

Since 2025-03-03

Branch Locations

2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121 • United States

234 1St Street, San Francisco, CA 94105 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Hunt Valle	MD	01/2019	02/2025
Vail Resorts	Park City	UT	11/2016	04/2017
Wells Fargo Bank	Baltimore	MD	07/2017	12/2018
Univeristy Of Maryland University College	Adelphi	MD	08/2018	Present
Sofi Securities, Llc	Cottonwood Heights	UT	02/2025	Present
Sofi Wealth, Llc	Cottonwood Heights	UT	02/2025	Present

01/2019 → 02/2025

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valle, MD
11/2016 → 04/2017

Vail Resorts

Park City, UT
07/2017 → 12/2018

Wells Fargo Bank

Baltimore, MD
08/2018 → Present

Univeristy Of Maryland University College

Adelphi, MD
02/2025 → Present

Sofi Securities, Llc

Cottonwood Heights, UT
02/2025 → Present

Sofi Wealth, Llc

Cottonwood Heights, UT

Previous Registrations

2019-11-05 → 2025-02-14

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

New York, NY

Hunt Valley, MD

Hunt Valley, MD

Hunt Valley, MD

Jacksonville, FL

Riverside, RI

Riverside, RI

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-11-04

S66 Uniform Combined State Law Examination

2019-11-04

Other Names

Alex Baker
Alex James Baker

View on SEC IAPD

Other Firms

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

LPL FINANCIAL LLC

PRIME CAPITAL FINANCIAL

SEQUOIA FINANCIAL GROUP, L.L.C.

OSAIC WEALTH, INC.

CETERA INVESTMENT ADVISERS LLC

Other Investors

STAN JOSEPH GOODELL

Jeremy David Miller

MATTHEW RENE BRUNNER

Jeffrey T Barrick

SCOTT RAYMOND BURNETT

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Cottonwood Heights, UT

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COTTONWOOD HEIGHTS , UT

LIDO · Cottonwood Heights, UT

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COTTONWOOD HEIGHTS, UT

LPL FINANCIAL LLC · MIDVALE, UT

LPL FINANCIAL LLC · COTTONWOOD HEIGHTS, UT

PRIME CAPITAL FINANCIAL · Cottonwood Heights, UT

SEQUOIA FINANCIAL GROUP, L.L.C. · Cottonwood Heights, UT

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