Richard JonesCRD Number: 5053946
Current Firm: Sofi Wealth LLC
Richard Jones (CRD# 5053946) is an Investment Advisor Representative working at Sofi Wealth LLC in Cottonwood Heights, UT and has over 15 years of experience in the finance industry.
Cetera Advisor Networks LLC
Cetera Advisor Networks LLC
Five Seasons Financial Planning LLC
|Tdameritrade Inc.||Draper, UT||Sep 2013 - Current||8|
|Wells Fargo Advisors, LLC||Salt Lake City, UT||Jan 2011 - Sep 2013||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 2006|
|S66||NASAA Uniform Combined State Law Examination||Sep 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management523MILLIONS
Total Number of Accounts79,972ACCOUNTS
Average Account Value$6,542
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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