Richard C. Jones

SOFI WEALTH LLC

Cottonwood Heights, UT 84121

Some features on this profile are disabled

CRD#: 5053946

Professional summary

Richard Chad Jones, who also goes by Chad Jones, R Chad Jones, is a registered financial advisor currently at SOFI WEALTH LLC located in Cottonwood Heights, Utah and SOFI SECURITIES LLC located in Cottonwood Heights, Utah.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chad Jones | R Chad Jones

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) - RIA

Click below to view Richard Chad Jones'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

June 7, 2017 - Present

SOFI WEALTH LLC

Office #1: 2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121

RIA

CRD#: 167958

Cottonwood Heights, UT

Current

May 30, 2017 - Present

SOFI SECURITIES LLC

Office #1: 2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121

CRD#: 151717

Cottonwood Heights, UT

Past

September 30, 2013 - June 12, 2017

TD AMERITRADE, INC.

RIA

CRD#: 7870

Draper, UT

Past

September 30, 2013 - June 12, 2017

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

DRAPER, UT

Past

September 13, 2013 - June 12, 2017

TD AMERITRADE, INC.

CRD#: 7870

DRAPER, UT

Past

January 3, 2011 - September 4, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALT LAKE CITY, UT

Past

February 1, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SALT LAKE CITY, UT

Past

June 23, 2006 - February 7, 2008

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Utah
(5/30/2017)

IAR

Utah
(7/6/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/6/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/22/2021

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/25/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOFI WEALTH LLC

SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

234 1st Street, San Francisco, CA 94105

Mailing Address

Phone number

(855) 525-7634

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOFI WEALTH ADV PART 2A (2/27/2025)

SOFI WEALTH ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	279,216
AUM (Assets Under Management)	$ 1,475,104,376

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.

Similar Advisors

Reuben Rowley

EAGLE STRATEGIES LLC

IAR

AMERICAN FORK, UT

Neal Hansen

NET WORTH ADVISORY GROUP, LLC

IAR

Sandy, UT

Justin Lizama

SIMPLE FINANCIAL, LLC

IAR

West Jordan, UT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard C. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Chad Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOFI SECURITIES LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

SOFI WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2013

Series 63

Date: 7/6/2006

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2006

Series 4

Date: 11/22/2021

Series 24

Date: 5/25/2016

FINRA

Current Firm

SOFI WEALTH LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOFI WEALTH LLC

TRUST BUT VERIFY

Similar Advisors