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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Carlos Dardon

Advisor at SOFI WEALTH LLC

COTTONWOOD HEIGHTS, UT | SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:7a86c5c4-ff8f-7b3d-0514-5ec6f1038ec9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Apr 1, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SOFI WEALTH LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 21, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Oct 21, 2011
First registration: Apr 1, 2014
Dual registered: yes, broker-dealer
Other names: CARLOS JOSEPH DARDON|CARLOS JOEY DARDON|Carlos J Dardon
IAPD individual key: 2431044

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SOFI WEALTH LLC	Bd affiliated wealth	Oct 24, 2025	n/a	yes	COTTONWOOD HEIGHTS, UT\|SAN FRANCISCO, CA	Current employment
Spc	Bd affiliated wealth	Apr 23, 2024	Oct 10, 2025	no	Salt Lake City, UT	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 17, 2023	Apr 25, 2024	no	SALT LAKE CITY, UT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 8, 2022	Feb 22, 2023	no	SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY	Wirehouse	Oct 8, 2021	Aug 16, 2022	no	San Francisco, CA\|Menlo Park, CA	Previous registration
MORGAN STANLEY	Wirehouse	Apr 1, 2014	Jun 1, 2021	no	SOUTH JORDAN, UT\|SOUTH JORDAN, UT\|San Mateo, CA\|Palo Alto, CA\|Menlo Park, CA\|Menlo Park, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Spc	SOFI WEALTH LLC	Oct 10, 2025	Oct 24, 2025	14	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	Spc	Apr 25, 2024	Apr 23, 2024	-2	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Feb 22, 2023	Mar 17, 2023	23	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 16, 2022	Sep 8, 2022	23	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ SOFI WEALTH LLCRegistered adviserregistration: current employment
Oct 24, 2025 to presentfactForm ADV
→ SPCRegistered adviserregistration: previous registration
Apr 23, 2024 to Oct 10, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 17, 2023 to Apr 25, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 8, 2022 to Feb 22, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 8, 2021 to Aug 16, 2022factForm ADV

Dated events

Occurred
Oct 10, 2025
Advisor changed firm
Carlos Dardon left Spc for Sofi Wealth Llc (registered 2025-10-24)
Form ADVobserved 5 days ago
Occurred
Apr 25, 2024
Advisor changed firm
Carlos Dardon left Wells Fargo Advisors for Spc (registered 2024-04-23)
Form ADVobserved 5 days ago
Occurred
Feb 22, 2023
Advisor changed firm
Carlos Dardon left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2023-03-17)
Form ADVobserved 5 days ago
Occurred
Aug 16, 2022
Advisor changed firm
Carlos Dardon left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-09-08)
Form ADVobserved 5 days ago