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DH

Dakota L. Holmes

SOFI SECURITIES LLC
Cottonwood Heights, UT 84121
Some features on this profile are disabled
CRD#: 5072112
DH

Professional summary

Dakota Lee Holmes, who also goes by Dakota L Holmes, Dakota Lee Holmes, is a registered financial professional currently at SOFI SECURITIES LLC located in Cottonwood Heights, Utah.

Dakota is registered as a RR (Registered Representative) and started their career in finance in 2006. Dakota has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dakota L Holmes | Dakota Lee Holmes

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 Dakota Lee Holmes'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

May 21, 2019 - Present

SOFI SECURITIES LLC

Office #1: 2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121
BD
CRD#: 151717
Cottonwood Heights, UT
Past

May 25, 2011 - July 18, 2018

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

July 19, 2010 - April 4, 2011

DB SECURITIES SERVICES NJ INC.

BD
CRD#: 142775
JERSEY CITY, NJ
Past

December 2, 2008 - June 11, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSONVILLE, FL
Past

April 6, 2006 - June 11, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
Utah
(5/21/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/21/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/5/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/6/2008
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#: 151717Cottonwood Heights, UT 84121

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