Patrick D. Ricci

SOFI WEALTH LLC

Claymont, DE 19703

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CRD#: 6635287

Professional summary

Patrick Domenic Ricci, who also goes by Patrick Ricci, is a registered financial advisor currently at SOFI WEALTH LLC located in Claymont, Delaware and SOFI SECURITIES LLC located in Greenville, Delaware.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Patrick has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick Ricci

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 name of the other business: Renting Residential home that I own. No name. whether the business is investment-related: No the address of the other business: 2003 Old Kirkwood Rd Bear, DE 19701 the nature of the other business: Rental Property your position, title, or relationship with the other business: The property is owned by my wife and me. the start date of your relationship: 02/01/2025 the approximate number of hours/month you devote to the other business: Under 1 hour the number of hours you devote to the other business during securities trading hours: 0 A brief description of your duties relating to the other business: I have no official duties, but from time to time I will help coordinate repairs, maintenance, etc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Domenic Ricci'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

February 8, 2021 - Present

SOFI WEALTH LLC

Office #1: 650 Naamans Rd Suite 300, Claymont, DE 19703

RIA

CRD#: 167958

Claymont, DE

Current

March 25, 2021 - Present

SOFI SECURITIES LLC

Office #1: 500 Dupont Field Blvd St 100, Greenville, DE 19807

CRD#: 151717

Greenville, DE

Past

October 19, 2017 - February 12, 2019

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

Wilmington, DE

Past

July 7, 2016 - February 12, 2019

CAPITAL ONE INVESTING, LLC

CRD#: 45744

WILMINGTON, DE

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.

Highlighted states indicate IAR registrations

IAR

Delaware
(2/8/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/18/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/2016

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: 7/7/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/2018

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)

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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

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.

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Advisor Monitoring

Firm Stability Insights

Patrick D. Ricci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Domenic Ricci's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOFI SECURITIES LLC

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

Primary Firm SEC Registration

SOFI WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/2017

Series 63

Date: 8/11/2016

SIE

Date: 10/1/2018

Series 7

Date: 7/7/2016

Series 24

Date: 2/22/2018

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

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