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Richard Chad Jones

Sofi Wealth LLC

Cottonwood Heights, UT

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Current Employers
Sofi Wealth Llc

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

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2017-07-06
  • UT RA
    APPROVED
    Since 2017-07-06

Branch Locations

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tdameritrade Inc. Draper UT 09/2013 Present
  • 09/2013 → Present
    Tdameritrade Inc.
    Draper, UT
Previous Registrations
  • 2013-09-30 → 2017-06-12
    Td Ameritrade, Inc.
    Draper, UT
    Draper, UT
    Draper, UT
    Omaha, NE
  • 2013-09-30 → 2017-06-12
    Td Ameritrade Investment Management, Llc
    Draper, UT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-20
S63 Uniform Securities Agent State Law Examination 2006-07-06
  • S66 Uniform Combined State Law Examination
    2013-09-20
  • S63 Uniform Securities Agent State Law Examination
    2006-07-06
Other Names
  • Chad Jones
  • Chad Jones
  • R Chad Jones

View on SEC IAPD

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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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