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DR

Daniel T. Roy

Some features on this profile are disabled
CRD#: 7285891
DR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Thomas Roy, who also goes by Daniel Thomas Roy, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2022. Daniel had worked at 8 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Thomas Roy

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 24, 2025 - January 21, 2026

SOFI WEALTH LLC

RIA
CRD#: 167958
jacksonville, FL
Past

November 18, 2025 - January 21, 2026

SOFI SECURITIES LLC

BD
CRD#: 151717
Jacksonville, FL
Past

November 5, 2024 - November 11, 2025

PRINCIPAL ADVISED SERVICES

RIA
CRD#: 297324
JACKSONVILLE, FL
Past

September 6, 2024 - November 11, 2025

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

April 26, 2024 - August 29, 2024

STATE FARM INVESTMENT MANAGEMENT CORP.

RIA
CRD#: 3487
Jacksonville, FL
Past

April 18, 2024 - August 29, 2024

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
Jacksonville, FL
Past

December 16, 2022 - November 2, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
JACKSONVILLE, FL
Past

August 25, 2022 - November 2, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JACKSONVILLE, FL

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/6/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/18/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/25/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/18/2022
Securities Industry Essentials Examination

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#: 167958

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