Susan Carson
Professional Summary
Susan Carson, who also goes by Susan Ellen Carson, Susan Hernandez, Susan Carson Hernandez, is a registered financial advisor currently at SOFI SECURITIES LLC located in Greenville, Delaware. Susan is registered as a RR (Registered Representative) and started their career in finance in 2006. Susan has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Susan Ellen Carson, Susan Hernandez, Susan Carson Hernandez
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
BOHICA SECURITIES LLC | SOFI SECURITIES LLC
Contact Information
Main Address
234 1st Street, San Francisco, CA 94105Mailing Address
234 1st Street, San Francisco, CA 94105Phone Number
(855) 525-7634Established
New York since 08/04/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/9/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Sep 2012About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2012About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Susan Carson's CRS (Customer Relationship Summary).
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