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BW

Brian S. Woolston

SOFI WEALTH LLC
Cottonwood Heights, UT 84121
Some features on this profile are disabled
CRD#: 7337925
BW

Professional summary

Brian Stephen Woolston, who also goes by Brian Stephen Woolston, is a registered financial advisor currently at SOFI WEALTH LLC located in Cottonwood Heights, Utah and SOFI SECURITIES LLC located in Cottonwood Heights, Utah.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Brian has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brian Stephen Woolston

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.
OBA-109243|OrgNmn:Strong Wash|Org Addr:Elk Ridge,Utah,US|OBA Nature:Pressure washing and associate|Invst Rel:N|Title:Independent Contractor|Duties:Complete services including but not limited to pressure washing, chemical treating, gutter cleaning, solar panel cleaning, drain clearing, tra|StrtDt:05-08-24|TotHrs/mon:20|TrdHrs/mon:0|OBA-95097|OrgNmn:Woolroy, LLC|Org Addr:Riverton,Utah,US|OBA Nature:Operates and manages tenants o|Invst Rel:Y|Title:Director|Duties:No conflicting time or activity obligations|StrtDt:10-01-22|TotHrs/mon:10|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Stephen Woolston'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

October 15, 2024 - Present

SOFI WEALTH LLC

Office #1: 2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121
RIA
CRD#: 167958
Cottonwood Heights, UT
Current

October 10, 2024 - Present

SOFI SECURITIES LLC

Office #1: 2750 E Cottonwood Parkway Suite 300, Cottonwood Heights, UT 84121
BD
CRD#: 151717
Cottonwood Heights, UT
Past

December 13, 2023 - September 18, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
SALT LAKE CITY, UT
Past

January 31, 2023 - September 18, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT
Past

April 5, 2021 - January 3, 2023

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
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".
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.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Utah
(10/10/2024)
IAR
Utah
(10/15/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/30/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/19/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/10/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/5/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/17/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

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#: 167958Cottonwood Heights, UT 84121

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