John D. Gardner
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 Davis Gardner III was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2019 - September 24, 2021
SOFI WEALTH LLC
March 8, 2019 - September 24, 2021
SOFI SECURITIES LLC
October 24, 1995 - May 4, 2004
SEI INVESTMENTS DISTRIBUTION CO.
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 7TO
Date: 6/25/2024
General Securities Representative ExaminationCurrent 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
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