Individual Firm
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BRIAN SPENCER
BRIAN KELLY SPENCER
CRD#: 5801465
IA
B
SOFI WEALTH LLCCRD#: 167958 2750 E Cottonwood Parkway
Suite 300
Cottonwood Heights, UT 84121
Suite 300
Cottonwood Heights, UT 84121
SOFI SECURITIES LLCCRD#: 151717 2750 E Cottonwood Parkway
Suite 300
Cottonwood Heights, UT 84121
Suite 300
Cottonwood Heights, UT 84121
0
Disclosures
14
Years of Experience
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State Registrations
IA
Utah 10/15/2024
B
Utah 10/29/2024
SRO Registrations
B
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IA
Registered with this firm since 10/15/2024
B
Registered with this firm since 10/28/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/12/2023 - 06/12/2024 | Sandy, UT | |
B | 01/11/2023 - 06/12/2024 | Sandy, UT | |
IA | 04/19/2016 - 09/05/2023 | Sandy, UT | |
B | 04/19/2016 - 09/05/2023 | SANDY, UT | |
B | 05/28/2014 - 05/06/2016 | NEW YORK, NY | |
IA | 09/15/2011 - 05/21/2014 | SOUTH JORDAN, UT | |
B | 09/15/2011 - 05/21/2014 | SOUTH JORDAN, UT | |
IA | 09/13/2010 - 08/22/2011 | HOLLADAY, UT | |
B | 07/26/2010 - 08/22/2011 | HOLLADAY, UT |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.