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DB

David Blake

SOFI SECURITIES LLC
Jacksonville, FL 32256
Some features on this profile are disabled
CRD#: 2508306
DB

Professional summary

David Blake, who also goes by David Maurice Blake, is a registered financial professional currently at SOFI SECURITIES LLC located in Jacksonville, Florida.

David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Maurice Blake

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 David Blake'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

January 23, 2025 - Present

SOFI SECURITIES LLC

Office #1: 5335 Gate Pkwy 5th Floor, Jacksonville, FL 32256
BD
CRD#: 151717
Jacksonville, FL
Past

June 9, 2021 - July 11, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

October 10, 2016 - April 26, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 26, 2011 - September 8, 2015

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

June 1, 2009 - September 28, 2011

MORGAN STANLEY

RIA
CRD#: 149777
CHICAGO, IL
Past

June 1, 2009 - September 28, 2011

MORGAN STANLEY

BD
CRD#: 149777
CHICAGO, IL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CHICAGO, IL
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CHICAGO, IL
Past

May 11, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHICAGO, IL
Past

May 11, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 13, 2003 - March 14, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHICAGO, IL
Past

June 13, 2003 - March 14, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 10, 2001 - March 21, 2003

LASALLE FINANCIAL SERVICES, INC.

RIA
CRD#: 20373
CHICAGO, IL
Past

October 17, 2001 - March 21, 2003

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

April 12, 2000 - April 25, 2001

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 27, 1999 - March 17, 2000

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

January 26, 1998 - May 5, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 4, 1997 - August 29, 1997

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
South Carolina
(1/23/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/13/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/13/1997
Uniform Securities Agent State Law 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 3
Date: 6/17/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/3/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/12/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/2/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/23/1999
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
Small
# 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#: 151717Jacksonville, FL 32256

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