John T. Foley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Thomas Foley, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 11 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7, Series 34, Series 3, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2015 - March 1, 2018
SOFI WEALTH LLC
April 9, 2015 - March 1, 2018
SOFI SECURITIES LLC
September 17, 2014 - April 7, 2015
COINBASE SECURITIES, INC.
March 10, 2014 - April 7, 2015
VENOVATE ADVISORS, LLC
February 21, 2008 - March 20, 2008
ASSEMBLY WEALTH
February 11, 2008 - March 26, 2008
PROSPERA FINANCIAL SERVICES, INC.
February 11, 2008 - March 26, 2008
PROSPERA FINANCIAL SERVICES, INC.
November 21, 2001 - November 29, 2004
CHARLES SCHWAB & CO., INC.
November 6, 1989 - February 25, 1991
QUICK & REILLY, INC.
November 18, 1986 - October 26, 1989
CHARLES SCHWAB & CO., INC.
January 31, 1986 - November 10, 1986
ACUMENT SECURITIES, INC.
March 15, 1983 - July 20, 1984
CHARLES SCHWAB & CO., INC.
December 20, 1982 - April 12, 1983
SUTRO & CO. INCORPORATED
August 26, 1982 - November 18, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
SOFI WEALTH LLC
CRD#: 167958 / SEC#: 801-78185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/16/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SOFI WEALTH LLC
CRD#: 167958 / SEC#: 801-78185
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 279,216 |
| AUM (Assets Under Management) | $ 1,475,104,376 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
