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Jorge Batista De Oliveira Neto

Sofi Wealth LLC

San Francisco, CA

Windham, ME

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Current Employers
Sofi Wealth Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2020-05-29
TX RA APPROVED 2020-05-29
  • ME RA
    APPROVED
    Since 2020-05-29
  • TX RA
    APPROVED
    Since 2020-05-29

Branch Locations

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

Windham, ME • 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
OrganizationCityStateFromTo
E*Trade Securities Llc Sandy UT 01/2017 04/2017
Dow Wealth Management, Llc Falmouth ME 05/2016 12/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Salt Lake City UT 04/2019 03/2020
Brigham Young University - Idaho Rexburg ID 09/2017 11/2017
Navex Global Rexburg ID 11/2017 04/2018
Brigham Young University - Idaho Rexburg ID 04/2018 07/2018
Goldman Sachs Co. Salt Lake City UT 07/2018 04/2019
Wells Fargo Clearing Services Salt Lake City UT 04/2020 04/2020
Wells Fargo Bank Salt Lake City UT 04/2020 04/2020
Unemployed Windham ME 12/2016 01/2017
Unemployed Rexburg ID 04/2017 09/2017
Sofi Securities Llc San Francisco CA 04/2020 Present
Sofi Wealth Llc San Francisco CA 04/2020 Present
  • 01/2017 → 04/2017
    E*Trade Securities Llc
    Sandy, UT
  • 05/2016 → 12/2016
    Dow Wealth Management, Llc
    Falmouth, ME
  • 04/2019 → 03/2020
    Salt Lake City, UT
  • 09/2017 → 11/2017
    Brigham Young University - Idaho
    Rexburg, ID
  • 11/2017 → 04/2018
    Navex Global
    Rexburg, ID
  • 04/2018 → 07/2018
    Brigham Young University - Idaho
    Rexburg, ID
  • 07/2018 → 04/2019
    Goldman Sachs Co.
    Salt Lake City, UT
  • 04/2020 → 04/2020
    Wells Fargo Clearing Services
    Salt Lake City, UT
  • 04/2020 → 04/2020
    Wells Fargo Bank
    Salt Lake City, UT
  • 12/2016 → 01/2017
    Unemployed
    Windham, ME
  • 04/2017 → 09/2017
    Unemployed
    Rexburg, ID
  • 04/2020 → Present
    Sofi Securities Llc
    San Francisco, CA
  • 04/2020 → Present
    San Francisco, CA
Previous Registrations
Other Businesses

Chess Teaching at The Homeschool Enrichment Hub The Homeschool Enrichment Hub is a Ministry established by members of the First Church of Waterville, with the purpose of providing resources for all homeschooling families in Central Maine. The Homeschool Enrichment Hub is managed by a team of homeschooling educators with the desire to facilitate a remarkable learning space for all homeschooled children. 1 hr per month, not during business or trading hours, $100 compensation for teaching chess https://www.enrichmenthub.org/

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-06-11
S63 Uniform Securities Agent State Law Examination 2014-10-01
  • S65 Uniform Investment Adviser Law Examination
    2019-06-11
  • S63 Uniform Securities Agent State Law Examination
    2014-10-01
Other Names
  • Jorge Batista Oliveira
  • Jorge Batista De Oliveira Neto
  • Jorge De Oliveira Neto
  • Jorge Oliveira
  • George Oliveira Oliveira

View on SEC IAPD

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