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RG

Royce Guerrero

SOFI WEALTH LLC
Jacksonville, FL 32256
Some features on this profile are disabled
CRD#: 6112718
RG

Professional summary

Royce Guerrero is a registered financial advisor currently at SOFI WEALTH LLC located in Jacksonville, Florida and SOFI SECURITIES LLC located in Jacksonville, Florida.

Royce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Royce has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
Advanced Products LLC. Not investment related. 10990 Fort Caroline Rd Unit 350142, Jacksonville, FL 32235. Manager. 11/17/2022. 8 hrs/month. Online retail products sales on Amazon, ebay, Mercari along with affiliate marketing sales of the retail products. Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Specialist-Invest Premier Services. Dually licensed. 01/03/2022. 40+ hrs/month. Support both Ally Invest and Ally Invest Advisors in a dually registered capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Royce Guerrero'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 23, 2024 - Present

SOFI WEALTH LLC

Office #1: 5335 Gate Pkwy Suite 101, Jacksonville, FL 32256
RIA
CRD#: 167958
Jacksonville, FL
Current

October 10, 2024 - Present

SOFI SECURITIES LLC

Office #1: 5335 Gate Pkwy 5th Floor, Jacksonville, FL 32256
BD
CRD#: 151717
Jacksonville, FL
Past

November 19, 2021 - October 9, 2024

ALLY INVEST ADVISORS

RIA
CRD#: 170301
Jacksonville, FL
Past

June 30, 2021 - October 9, 2024

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
CHARLOTTE, NC
Past

January 21, 2021 - May 25, 2021

VICTORY CAPITAL MANAGEMENT INC.

RIA
CRD#: 106189
SAN ANTONIO, TX
Past

July 1, 2019 - May 25, 2021

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
San Antonio, TX
Past

January 8, 2018 - July 8, 2019

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
SAN ANTONIO, TX
Past

August 19, 2014 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
TAMPA, FL
Past

July 3, 2014 - July 1, 2019

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

October 17, 2012 - May 27, 2014

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
BOSTON, MA

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

RR
Florida
(10/10/2024)
IAR
Florida
(10/23/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/8/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/2/2012
Uniform Securities Agent 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: 10/16/2012
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#: 167958Jacksonville, FL 32256

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