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CC

Colby Carter

SOFI SECURITIES
Jacksonville, FL 32256
Some features on this profile are disabled
CRD#: 8047156
CC
Colby CarterSOFI SECURITIES

Professional summary

Colby Carter is a registered financial professional currently at SOFI SECURITIES LLC located in Jacksonville, Florida.

Colby is registered as a RR (Registered Representative) and started their career in finance in 2025. Colby has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

None

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-116777|OrgNmn:GatorSoles|Org Addr:Jacksonvil,Florida,US|OBA Nature:LLC selling shoes|Invst Rel:N|Title:Founder|Duties:Selling shoes online|StrtDt:|TotHrs/mon:20|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Colby Carter'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

September 25, 2026 - Present

SOFI SECURITIES LLC

Office #1: 5335 Gate Pkwy 5th Floor, Jacksonville, FL 32256
BD
CRD#: 151717
Jacksonville, FL
Past

June 25, 2025 - September 21, 2026

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Jacksonville, FL
Past

June 24, 2025 - September 21, 2026

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Jacksonville, FL
Past

March 25, 2025 - June 4, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JACKSONVILLE, FL

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
Florida
(9/25/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
PR
Series 66
Status Unavailable
Passed: 2/6/2025
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Status Unavailable
Passed: 3/25/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 1/6/2025
Securities Industry Essentials 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
Medium
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOCIAL FINANCE, LLC.MEMBER
BOHM, DAVID LAWRENCECHIEF ANTI-MONEY LAUNDERING OFFICER2858316
BURKE, RYANPRESIDENT5016797
CLARK, TYLERPRINCIPAL OPERATIONS OFFICER4085018
GAZLAY, ALEXANDREAFINOP7317942
SEFFINGER, MARKCHIEF COMPLIANCE OFFICER2294049

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SOFI SECURITIES LLC

CRD#: 151717Jacksonville, FL 32256

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