Is SoFi Wealth a Broker Dealer or Registered Investment Advisor?

Your investment advice relationship is with SoFi Wealth, LLC, a Registered Investment Advisor that is registered with the Securities and Exchange Commission. Transactions in your account are introduced (as “agent for custody”) to an independent custodian, Apex Clearing, by SoFi Securities, an affiliated company that is a FINRA registered Broker Dealer. Your securities and money are held by a third party clearing firm (or “custodian”), Apex Clearing, who is also a FINRA registered Broker Dealer.