KS
Kevin J. Sofield
VISTA EQUITY PARTNERS CAPITAL MARKETS
NEW YORK, NY 10001
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CRD#: 4004331
KS
Professional summary
Kevin Joseph Sofield, who also goes by Kevin J. Sofield, is a registered financial professional currently at VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1999. Kevin has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 7TO, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin J. Sofield
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Joseph Sofield's 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®
NoneExperience
Current
June 6, 2025 - Present
VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC
Office #1: 50 Hudson Yards Floor 77, New York, NY 10001Office #2: 401 Congress Avenue Suite 3100, Austin, TX 78701BD
CRD#: 332887
NEW YORK, NY
Past
August 20, 2012 - October 8, 2013
TRUIST SECURITIES, INC.
BD
CRD#: 6271
SAN FRANCISCO, CA
Past
October 1, 1999 - March 29, 2012
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
SAN FRANCISCO, CA
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
Alabama(6/26/2025)
RR
Alaska(6/16/2025)
RR
Arizona(7/16/2025)
RR
Arkansas(8/13/2025)
RR
California(6/11/2025)
RR
Colorado(7/3/2025)
RR
Connecticut(7/29/2025)
RR
Delaware(7/14/2025)
RR
District of Columbia(7/17/2025)
RR
Florida(8/5/2025)
RR
Georgia(6/18/2025)
RR
Hawaii(7/11/2025)
RR
Idaho(6/12/2025)
RR
Illinois(8/8/2025)
RR
Indiana(8/5/2025)
RR
Iowa(6/11/2025)
RR
Kansas(6/23/2025)
RR
Kentucky(6/16/2025)
RR
Louisiana(7/7/2025)
RR
Maine(7/21/2025)
RR
Maryland(7/8/2025)
RR
Massachusetts(8/28/2025)
RR
Michigan(6/17/2025)
RR
Minnesota(7/7/2025)
RR
Mississippi(6/13/2025)
RR
Missouri(7/7/2025)
RR
Montana(7/3/2025)
RR
Nebraska(6/25/2025)
RR
Nevada(6/16/2025)
RR
New Hampshire(8/11/2025)
RR
New Jersey(8/1/2025)
RR
New Mexico(7/24/2025)
RR
New York(7/3/2025)
RR
North Carolina(6/19/2025)
RR
North Dakota(7/28/2025)
RR
Ohio(6/16/2025)
RR
Oklahoma(6/12/2025)
RR
Oregon(6/18/2025)
RR
Pennsylvania(6/13/2025)
RR
Puerto Rico(8/1/2025)
RR
Rhode Island(6/12/2025)
RR
South Carolina(7/10/2025)
RR
South Dakota(7/22/2025)
RR
Tennessee(7/18/2025)
RR
Texas(6/24/2025)
RR
Utah(6/26/2025)
RR
Vermont(7/21/2025)
RR
Virgin Islands(8/21/2025)
RR
Virginia(7/14/2025)
RR
Washington(6/23/2025)
RR
West Virginia(7/10/2025)
RR
Wisconsin(7/23/2025)
RR
Wyoming(7/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 6/6/2025
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 3/17/2025
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 3/3/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VE
VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC
VISTA EQUITY PARTNERS CAPITAL MARKETS, LLC
CRD#: 332887 / SEC#: , 8-71280
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
50 Hudson Yards Floor 77, New York, NY 10001
Mailing Address
50 Hudson Yards Floor 77, New York, NY 10001
Phone number
(212) 804-9100
Established
Delaware since 08/05/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
