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Melinda Guadalupe Cao
MELINDA STEANS, Melinda Guadalupe Steans
CRD#: 6719534
IA
B
SOFI WEALTH LLCCRD#: 167958 Missouri City, TX
SOFI SECURITIES LLCCRD#: 151717 Missouri City, TX
0
Disclosures
6
Years of Experience
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State Registrations
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Alabama 4/22/2020
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Montana 4/22/2020
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Alaska 4/22/2020
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Nebraska 4/22/2020
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Arizona 4/22/2020
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Nevada 4/22/2020
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Arkansas 4/22/2020
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New Hampshire 4/22/2020
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California 4/22/2020
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New Jersey 4/22/2020
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Colorado 4/22/2020
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New Mexico 4/22/2020
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Connecticut 4/22/2020
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New York 4/22/2020
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Delaware 4/22/2020
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North Carolina 4/22/2020
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District of Columbia 4/22/2020
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North Dakota 4/22/2020
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Florida 4/22/2020
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Ohio 4/22/2020
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Georgia 4/22/2020
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Oklahoma 4/22/2020
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Hawaii 4/22/2020
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Oregon 4/22/2020
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Idaho 4/22/2020
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Pennsylvania 4/22/2020
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Illinois 4/22/2020
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Rhode Island 4/22/2020
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Indiana 4/22/2020
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South Carolina 4/22/2020
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Iowa 4/22/2020
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South Dakota 4/22/2020
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Kansas 4/22/2020
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Tennessee 4/22/2020
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Kentucky 4/22/2020
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Texas 4/22/2020
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Louisiana 4/22/2020
IA
Texas 5/18/2020
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Maine 4/22/2020
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Utah 4/22/2020
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Maryland 4/22/2020
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Vermont 4/22/2020
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Massachusetts 4/22/2020
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Virginia 4/22/2020
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Michigan 4/22/2020
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Washington 4/22/2020
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Minnesota 4/22/2020
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West Virginia 4/22/2020
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Mississippi 4/22/2020
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Wisconsin 4/22/2020
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Missouri 4/22/2020
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Wyoming 4/22/2020
SRO Registrations
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IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/08/2019 - 04/20/2020 | SALT LAKE CITY, UT | |
B | 07/09/2018 - 09/17/2019 | Menlo Park, CA |
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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.