Our Staff has compiled our research into a database of FINRA Broker Disclosures for Sofi Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Brandon Drew Petersen | 6624270 | 1 | 09/07/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Lee McGoogin-Smith | 6455095 | 2 | 01/24/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua Glenn Clayton | 6006920 | 1 | 08/10/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Dean Bingham | 5145867 | 1 | 01/20/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Chad Jones | 5053946 | 1 | 06/22/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |