Melinda G. Cao
Professional summary
Melinda Guadalupe Cao, who also goes by Melinda Steans, Melinda Guadalupe Steans, is a registered financial advisor currently at SOFI WEALTH LLC located in Missouri City, Texas and SOFI SECURITIES LLC located in San Francisco, California.
Melinda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Melinda has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Melinda Guadalupe Cao's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2020 - Present
SOFI WEALTH LLC
April 22, 2020 - Present
SOFI SECURITIES LLC
Office #1: 234 1st Street, San Francisco, CA 94105October 8, 2019 - April 20, 2020
EQUITABLE ADVISORS, LLC
July 9, 2018 - September 17, 2019
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
SOFI WEALTH LLC
CRD#: 167958 / SEC#: 801-78185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(5/18/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
(4/22/2020)
Exams
FINRA
Current Firm
SOFI WEALTH LLC
CRD#: 167958 / SEC#: 801-78185
Contact information
SEC notice filing (52 States and Territories)
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.
