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CW

Corey W. Wells

SOFI SECURITIES LLC
Greenville, DE 19807
Some features on this profile are disabled
CRD#: 6846877
CW

Professional summary

Corey William Wells, who also goes by Corey William Wells, is a registered financial professional currently at SOFI SECURITIES LLC located in Greenville, Delaware.

Corey is registered as a RR (Registered Representative) and started their career in finance in 2018. Corey has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Corey William Wells

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) - BD

Click below to view Corey William Wells'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

May 8, 2023 - Present

SOFI SECURITIES LLC

Office #1: 500 Dupont Field Blvd St 100, Greenville, DE 19807
BD
CRD#: 151717
Greenville, DE
Past

July 12, 2022 - August 4, 2022

SOFI SECURITIES LLC

BD
CRD#: 151717
SAN FRANCISCO, CA
Past

April 8, 2019 - April 20, 2022

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
Charlotte, NC
Past

October 2, 2018 - January 14, 2019

BB&T SECURITIES, LLC

BD
CRD#: 142785
WINSTON-SALEM, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
South Carolina
(5/8/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/22/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/3/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/2/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SOFI SECURITIES LLC
BOHICA SECURITIES LLC | SOFI SECURITIES LLC

CRD#: 151717 / SEC#: , 8-68389

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
234 1st Street, San Francisco, CA 94105
Mailing Address
234 1st Street, San Francisco, CA 94105
Phone number
(855) 525-7634
Established
New York since 08/04/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOCIAL FINANCE, LLC.MEMBER
BURKE, RYANPRESIDENT5016797
CLARK, TYLERPRINCIPAL OPERATIONS OFFICER4085018
SEFFINGER, MARKCHIEF COMPLIANCE OFFICER2294049
WADDELL, ALEXIS VINCENTFINOP7337272

Disclosures

Regulatory Event2

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 SECURITIES LLC

CRD#: 151717Greenville, DE 19807

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