Stefanie N. Swezey

SOFI WEALTH LLC

Jacksonville, FL 32256

Some features on this profile are disabled

CRD#: 5779400

Professional summary

Stefanie Nicole Swezey, who also goes by Nikki Swezey, Stefanie N Swezey, Stefanie Nicole Swezey, Stefanie Swezey, is a registered financial advisor currently at SOFI WEALTH LLC located in Jacksonville, Florida and SOFI SECURITIES LLC located in Jacksonville, Florida.

Stefanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Stefanie has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nikki Swezey | Stefanie N Swezey | Stefanie Nicole Swezey | Stefanie Swezey

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 Stefanie Nicole Swezey'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

March 30, 2021 - Present

SOFI WEALTH LLC

Office #1: 5335 Gate Parkway Suite 500, Jacksonville, FL 32256

RIA

CRD#: 167958

Jacksonville, FL

Current

April 2, 2021 - Present

SOFI SECURITIES LLC

Office #1: 5335 Gate Pkwy 5th Floor, Jacksonville, FL 32256

CRD#: 151717

Jacksonville, FL

Past

March 2, 2020 - March 26, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Leesburg, VA

Past

February 28, 2020 - March 26, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Leesburg, VA

Past

January 30, 2017 - March 8, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

January 30, 2017 - March 8, 2018

SCOTTRADE, INC.

CRD#: 8206

ROCKVILLE, MD

Past

April 8, 2016 - October 26, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

BETHESDA, MD

Past

April 8, 2016 - October 26, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

BETHESDA, MD

Past

February 9, 2015 - March 11, 2016

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

COLUMBIA, MD

Past

February 9, 2015 - March 11, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

COLUMBIA, MD

Past

November 4, 2013 - January 14, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

FALLS CHURCH, VA

Past

September 20, 2013 - January 14, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

FALLS CHURCH, VA

Past

April 4, 2012 - May 29, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JACKSONVILLE, FL

Past

November 19, 2010 - June 7, 2011

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

JACKSONVILLE, FL

Past

July 19, 2010 - August 31, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JACKSONVILLE, FL

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

Alabama
(4/2/2021)

Alaska
(4/2/2021)

Arizona
(4/2/2021)

Arkansas
(4/2/2021)

California
(4/2/2021)

Colorado
(4/2/2021)

Connecticut
(4/2/2021)

Delaware
(4/2/2021)

District of Columbia
(4/2/2021)

Florida
(4/2/2021)

IAR

Florida
(7/1/2021)

Georgia
(4/2/2021)

Hawaii
(4/2/2021)

Idaho
(4/2/2021)

Illinois
(4/2/2021)

Indiana
(4/2/2021)

Iowa
(4/2/2021)

Kansas
(4/2/2021)

Kentucky
(4/2/2021)

Louisiana
(4/2/2021)

Maine
(4/2/2021)

Maryland
(4/2/2021)

Massachusetts
(4/2/2021)

Michigan
(4/2/2021)

Minnesota
(4/2/2021)

Mississippi
(4/2/2021)

Missouri
(4/2/2021)

Montana
(4/2/2021)

Nebraska
(4/2/2021)

Nevada
(4/2/2021)

New Hampshire
(4/2/2021)

New Jersey
(4/2/2021)

New Mexico
(4/2/2021)

New York
(4/2/2021)

North Carolina
(4/2/2021)

North Dakota
(4/2/2021)

Ohio
(4/2/2021)

Oklahoma
(4/2/2021)

Oregon
(4/2/2021)

Pennsylvania
(4/2/2021)

Rhode Island
(4/2/2021)

South Carolina
(4/2/2021)

South Dakota
(4/2/2021)

Tennessee
(4/2/2021)

Texas
(4/2/2021)

Utah
(4/2/2021)

Vermont
(4/2/2021)

Virginia
(4/2/2021)

Washington
(4/2/2021)

West Virginia
(4/2/2021)

Wisconsin
(4/2/2021)

Wyoming
(4/2/2021)

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: 11/4/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/20/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2010

General Securities Representative 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

Andreas Heinrich

LPL ENTERPRISE, LLC

IAR

Jacksonville, FL

Michael Mcalpin

INTELLICAPITAL ADVISORS LLC

PONTE VEDRA, FL

Troy Davis

DAVIS CAPITAL MANAGEMENT

IAR

JACKSONVILLE, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stefanie N. Swezey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stefanie Nicole Swezey's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOFI SECURITIES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SOFI WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2013

Series 63

Date: 12/20/2010

SIE

Date: 3/8/2018

Series 7

Date: 7/16/2010

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