Profile

Broker Dealer

Broker CRD #

Recipient Name

Recipient CRD #

SOFI SECURITIES, LLC
151717
CHRISTINA KRAMLICH
6014754
SOFI SECURITIES LLC
151717
N/A
NONE
SOFI SECURITIES LLC
151717
N/A
NONE
SOFI SECURITIES LLC
151717
N/A
NONE
SOFI SECURITIES LLC
151717
N/A
NONE
SOFI SECURITIES LLC
151717
NA
NONE
SOFI SECURITIES LLC
151717
SOFI SECURITIES LLC
151717
SOFI SECURITIES LLC
151717
SOFI SECURITIES LLC
151717
NONE
NONE
SOFI SECURITIES LLC
151717
SOFI SECURITIES LLC
151717
SOFI SECURITIES LLC
151717
SOFI SECURITIES LLC
151717
SOFI SECURITIES LLC
151717
SOFI SECURITIES LLC
151717
SOFI SECURITIES LLC
151717
Filings
Filing Date
Filing Type
Sales Commission
Estimate?
Finders' Fee
Estimate?
Commission/Fee Clarification
2026-05-22
D
$122,811.00
Yes
$0.00
No
2026-05-19
D
$350,886.00
Yes
$0.00
No
2026-05-06
D
$179,400.00
Yes
$0.00
No
2026-04-22
D
$60,000.00
Yes
$0.00
No
2026-01-06
D
$187,880.00
Yes
$0.00
No
2025-12-09
D
$449,646.00
Yes
$0.00
No
2025-11-04
D/A
$118,320.00
Yes
$0.00
No
2025-10-31
D/A
$118,320.00
Yes
$0.00
No
2025-10-31
D
$118,320.00
Yes
$0.00
No
2025-07-07
D
$206,760.00
Yes
$0.00
No
2025-05-23
D
$144,562.00
Yes
$0.00
No
2025-05-23
D/A
$656,219.00
Yes
$0.00
No
COMMISSIONS WILL INCREASE IF FUND SIZE EXCEEDS THE MINIMUM.
2024-12-16
D
$450,000.00
Yes
$0.00
No
COMMISSIONS WILL INCREASE IF FUND SIZE EXCEEDS THE MINIMUM.
2017-04-17
D
$500,000.00
Yes
$0.00
No
2017-04-17
D
$500,000.00
Yes
$0.00
No
2015-06-19
D
$0.00
No
$0.00
No
THE PLACEMENT AGENT WILL NOT RECEIVE A COMMISSION.
2015-02-18
D
$0.00
No
$0.00
No
2014-11-21
D
$0.00
No
$0.00
No
2014-01-06
D
$0.00
No
$0.00
No
2013-05-31
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD
2013-04-23
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2013-04-04
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2013-03-25
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2013-02-05
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2013-02-05
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2013-01-30
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2013-01-30
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2013-01-28
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2012-12-11
D
$50,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2012-12-11
D
$50,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2012-12-11
D
$50,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2012-12-07
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2012-12-06
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2012-12-06
D
$50,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2012-12-06
D/A
$50,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2012-12-06
D
$100,000.00
Yes
$0.00
No
AMOUNT REFLECTS SALES COMPENSATION PAID OR EXPECTED TO BE PAID FOR THE SALE OF SECURITIES OVER THE FOLLOWING 12 MONTH PERIOD.
2012-11-16
D
$7,500.00
No
$0.00
No
2012-11-16
D
$375.00
No
$0.00
No
2012-08-13
D
$4,737.00
No
$0.00
No