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Jacob Shaw

SOFI SECURITIES
Jacksonville, FL
·CRD# 8217417·1 year experience

Professional Summary

Jacob Shaw, who also goes by Jake Shaw, is a registered financial advisor currently at SOFI SECURITIES LLC located in Jacksonville, Florida. Jacob is registered as a RR (Registered Representative) and started their career in finance in 2026. Jacob has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jake Shaw

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

1 years in the financial services industry

Current & Past Employments

SOFI SECURITIES LLC·CRD# 151717
BD
5335 Gate Pkwy 5th Floor, Jacksonville, FL 32256
October 23, 2026 - Present
CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
Jacksonville, FL
March 3, 2026 - October 2, 2026
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Jacksonville, FL
February 23, 2026 - October 2, 2026

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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)

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

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOCIAL FINANCE, LLC.MEMBER—
ALAWAM, MAJDCHIEF ANTI-MONEY LAUNDERING OFFICER8320352
CLARK, TYLERPRINCIPAL OPERATIONS OFFICER4085018
GAZLAY, ALEXANDREAFINOP7317942
HILL, ROBERT MARSHALLPRESIDENT6074166
SEFFINGER, MARKCHIEF COMPLIANCE OFFICER2294049

Disclosures

Regulatory Event

2

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 03/2020 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: AMERICAN FIDELITY ASSURANCE COMPANY INVESTMENT RELATED: NO ADDRESS: 9000 CAMERON PARKWAY OKLAHOMA CITY, OK 73114 NATURE OF BUSINESS: EMPLOYEE BENEFITS START DATE: 05/2022 POSITION/TITLE/RELATIONSHIP: SENIOR ACCOUNT MANAGER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: GROUP BENEFIT CONSULTATION, SALES, AND ACCOUNT DEVELOPMENT/MANAGEMENT 3. NAME OF OTHER BUSINESS: CAPITAL FINANCIAL STRATEGIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2026 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: WINDS OF CHANGE ACADEMY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: 14180 BEACH BLVD, JACKSONVILLE FL 32250 START DATE: 9/5/26 POSITION/TITLE/RELATIONSHIP: GUITAR TEACHER APX NUMBER OF HOURS PER WEEK: 8 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: TEACHING KIDS (AGE 3+) HOW TO PLAY GUITAR

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(10/23/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jan 2026About the Series 66 exam

Series 7TO — General Securities Representative Examination

Passed Feb 2026About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Dec 2025About the SIE exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Jacob Shaw's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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