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KB

Kevin M. Buckley

SOFI SECURITIES LLC
Greenville, DE 19807
Some features on this profile are disabled
CRD#: 2161297
KB

Professional summary

Kevin Maurice Buckley, who also goes by Kevin Maurice Buckley, is a registered financial professional currently at SOFI SECURITIES LLC located in Greenville, Delaware.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1991. Kevin has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 31, Series 7, Series 4, Series 27, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Maurice Buckley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Maurice Buckley's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 7, 2025 - Present

SOFI SECURITIES LLC

Office #1: 500 Dupont Field Blvd St 100, Greenville, DE 19807
BD
CRD#: 151717
Greenville, DE
Past

January 31, 2023 - June 28, 2025

ROBINHOOD SECURITIES, LLC

BD
CRD#: 287900
Waxhaw, NC
Past

January 21, 2022 - June 28, 2025

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Waxhaw, NC
Past

January 2, 2019 - December 23, 2021

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
CHARLOTTE, NC
Past

January 2, 2019 - December 23, 2021

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

June 15, 2018 - December 14, 2018

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
CHARLOTTE, NC
Past

March 25, 2017 - December 14, 2018

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHARLOTTE, NC
Past

January 28, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CHARLOTTE, NC
Past

November 22, 2002 - October 8, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
HALFMOON, NY
Past

August 30, 1993 - November 27, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

July 29, 1991 - September 14, 1993

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/5/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/14/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/9/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/25/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/26/2018
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/15/2018
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/16/2017
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/13/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SOFI SECURITIES LLC
BOHICA SECURITIES LLC | SOFI SECURITIES LLC

CRD#: 151717 / SEC#: , 8-68389

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
234 1st Street, San Francisco, CA 94105
Mailing Address
234 1st Street, San Francisco, CA 94105
Phone number
(855) 525-7634
Established
New York since 08/04/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOCIAL FINANCE, LLC.MEMBER
BURKE, RYANPRESIDENT5016797
CLARK, TYLERPRINCIPAL OPERATIONS OFFICER4085018
SEFFINGER, MARKCHIEF COMPLIANCE OFFICER2294049
WADDELL, ALEXIS VINCENTFINOP7337272

Disclosures

Regulatory Event2

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.

Company Information

SOFI SECURITIES LLC

CRD#: 151717Greenville, DE 19807

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