Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗

FINRA BrokerCheck SEC IAPD verified CRD# 151717 Grade C

Sofi Securities LLC — FINRA BrokerCheck Disciplinary Record

Limited Liability Company headquartered in San Francisco, CA. 6 branch offices, 2 BrokerCheck disclosures.

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Sofi Securities LLC registration status — ACTIVE

Status100%ActiveTerminatedSuspendedCancelled
Sofi Securities LLC registration status — ACTIVE

The verdict

Sofi Securities LLC carries 2 BrokerCheck disclosures across 6 branch offices - moderate load for a small firm, earning a Grade C.

Grade C
Typical disclosure intensity for a firm of this size, review the underlying records.
6
branch offices (small firm)
2
BrokerCheck disclosures
0.33
disclosures per office

PlainAdvisorCheck rating 3/5 — an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Branch offices

6 offices

FINRA: Medium firm

Total disclosures

2 events

On FINRA BrokerCheck

Regulatory events

2 actions

100% of all disclosures

Disclosures per office

0.33 per office

2 ÷ 6 offices

Sofi Securities LLC vs. every disclosing firm

Disclosures per branch office — the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 74% of 438 disclosing firms

0–0: 97 disclosing firms (22%). Below this entry. 0–1: 53 disclosing firms (12%). This entry sits in this band. 1–1: 116 disclosing firms (26%). Above this entry. 1–1: 14 disclosing firms (3%). Above this entry. 1–1: 41 disclosing firms (9%). Above this entry. 1–2: 8 disclosing firms (2%). Above this entry. 2–2: 29 disclosing firms (7%). Above this entry. 2–2: 4 disclosing firms (1%). Above this entry. 2–2: 29 disclosing firms (7%). Above this entry. 2–3: 5 disclosing firms (1%). Above this entry. 3–3: 13 disclosing firms (3%). Above this entry. 3–3: 2 disclosing firms (0%). Above this entry. 3–3: 13 disclosing firms (3%). Above this entry. 3–4: 3 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (1%). Above this entry. 4–4: 1 disclosing firms (0%). Above this entry. 4–4: 4 disclosing firms (1%). Above this entry. 4–5: 1 disclosing firms (0%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 2
Arbitrations 0
Civil Events 0
Total 2

Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗

Disclosure category share

Regulatory 2 Arbitration 0 Civil 0

Disclosure Profile

Sofi Securities LLC's disclosure record, broken down by category and footprint.

Disclosures per office
0.33
Moderate load
Regulatory share
100%
of total disclosures
Size class
Small firm
6 branches

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
San Francisco, CA, 94105
Formed
08/04/2009
State of Formation
New York
CRD Number
151717
SEC Number
68389

Verify at FINRA BrokerCheck

FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.

View on FINRA BrokerCheck ↗

What the Record Says About Sofi Securities LLC

Sofi Securities LLC (Limited Liability Company, CRD# 151717 · SEC# 68389 · San Francisco, CA) operates 6 branch offices — a small firm (FINRA: medium), scope ACTIVE.

BrokerCheck shows 2 disclosures (about 0.33 per branch office): 2 regulatory, 0 arbitration, 0 civil. Letter grade C (3/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Every firm registered with FINRA or the SEC must report regulatory actions, customer complaints, arbitrations, and civil judicial events on its public BrokerCheck and Form ADV records. A disclosure is not automatically a finding of wrongdoing — it can range from a settled customer dispute to a formal regulatory sanction — but a heavy disclosure load relative to a firm's size is a signal worth examining before you hire. Because larger firms naturally accumulate more disclosures across more offices, PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Read each disclosure's underlying detail on the official record rather than relying on the headline number alone. Registration itself confirms only that a firm is authorized to do business, not that its compliance history is clean.

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Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

What does a grade of C mean for Sofi Securities LLC?
A grade of C reflects Sofi Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 2 total disclosures across 6 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Sofi Securities LLC have?
Sofi Securities LLC has 2 total FINRA disclosures, including 2 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Sofi Securities LLC?
Sofi Securities LLC operates 6 branch offices and is classified by FINRA as a medium firm, registered in CA (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Sofi Securities LLC's disciplinary record?
You can verify Sofi Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 151717. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Sofi Securities LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Sofi Securities LLC carries 2 disclosures across 6 branch offices (about 0.33 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

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Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck Editorial