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BS

Brian K. Spencer

SOFI WEALTH LLC
Cottonwood Heights, UT 84121
Some features on this profile are disabled
CRD#: 5801465
BS

Professional summary

Brian Kelly Spencer, who also goes by Brian Kelly Spencer, is a registered financial advisor currently at SOFI WEALTH LLC located in Cottonwood Heights, Utah and SOFI SECURITIES LLC located in Cottonwood Heights, Utah.

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

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brian Kelly Spencer

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 Brian Kelly Spencer'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

October 15, 2024 - Present

SOFI WEALTH LLC

Office #1: 2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121
RIA
CRD#: 167958
Cottonwood Heights, UT
Current

October 28, 2024 - Present

SOFI SECURITIES LLC

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

January 12, 2023 - June 12, 2024

MORGAN STANLEY

RIA
CRD#: 149777
Sandy, UT
Past

January 11, 2023 - June 12, 2024

MORGAN STANLEY

BD
CRD#: 149777
Sandy, UT
Past

April 19, 2016 - September 5, 2023

HARRISDIRECT LLC

RIA
CRD#: 42159
Sandy, UT
Past

April 19, 2016 - September 5, 2023

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SANDY, UT
Past

May 28, 2014 - May 6, 2016

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 15, 2011 - May 21, 2014

MORGAN STANLEY

RIA
CRD#: 149777
SOUTH JORDAN, UT
Past

September 15, 2011 - May 21, 2014

MORGAN STANLEY

BD
CRD#: 149777
SOUTH JORDAN, UT
Past

September 13, 2010 - August 22, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
HOLLADAY, UT
Past

July 26, 2010 - August 22, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
HOLLADAY, 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".
SW
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.
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

IAR
Utah
(10/15/2024)
RR
Utah
(10/29/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/9/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SW
SOFI WEALTH LLC
SOFI ADVISORS LLC | SOFI WEALTH LLC

CRD#: 167958 / SEC#: 801-78185

RIA
Registered Investment Advisory firm - (6/14/2013 Approved)
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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
80

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts279,216
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.

Company Information

SOFI WEALTH LLC

CRD#: 167958Cottonwood Heights, UT 84121

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