Joshua Roberts

SOFI WEALTH

Cottonwood Heights, UT 84121

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CRD#: 7256214

Professional summary

Joshua Roberts, who also goes by Josh Paul Roberts, Joshua Paul Roberts, Joshua Roberts, is a registered financial advisor currently at SOFI WEALTH LLC located in Cottonwood Heights, Utah and SOFI SECURITIES LLC located in Cottonwood Heights, Utah.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Joshua has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Aliases

Josh Paul Roberts | Joshua Paul Roberts | Joshua Roberts

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 Joshua Roberts'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

November 18, 2025 - Present

SOFI WEALTH LLC

Office #1: 2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121

RIA

CRD#: 167958

Cottonwood Heights, UT

Current

November 17, 2025 - Present

SOFI SECURITIES LLC

Office #1: 2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121

CRD#: 151717

Cottonwood Heights, UT

Past

August 19, 2025 - November 12, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SALT LAKE CITY, UT

Past

August 18, 2025 - November 12, 2025

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALT LAKE CITY, UT

Past

January 3, 2024 - March 21, 2025

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Bluffdale, UT

Past

November 30, 2023 - March 21, 2025

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

September 4, 2020 - November 29, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, 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".

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.

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

Utah
(11/17/2025)

IAR

Utah
(11/18/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/30/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/11/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/3/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/27/2020

Securities Industry Essentials 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

Joshua Roberts

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOFI SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

SOFI WEALTH LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2023

Series 63

Date: 9/11/2020

Series 7TO

Date: 9/3/2020

SIE

Date: 8/27/2020

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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