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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Bradley G. Sofonia

Advisor at PLANMEMBER SECURITIES CORPORATION

South Jordan, UT | Carpinteria, CA

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Search this name across graphsid dfx:ria:cee5ccb1-bf33-9681-9c88-7c68814f0fd5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 5
On other graphs: 0
Observed: Aug 10, 2005 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: PLANMEMBER SECURITIES CORPORATION
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom 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: S65|S63
First exam: Jul 19, 2004
First registration: Aug 10, 2005
Dual registered: yes, broker-dealer
Other names: Brad G Sofonia|Bradley George Sofonia
IAPD individual key: 2670011

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
PLANMEMBER SECURITIES CORPORATION	Independent wealth	Aug 6, 2026	n/a	yes	South Jordan, UT\|Carpinteria, CA	Current employment
WEALTH MANAGEMENT CPAS, LLC	Independent wealth	Jul 6, 2026	Jul 16, 2026	no	SALT LAKE CITY, UT	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Sep 8, 2025	Jun 30, 2026	no	Lehi, UT\|South Jordan, UT	Previous registration
ESI FINANCIAL ADVISORS	Independent wealth	Aug 12, 2025	Aug 22, 2025	no	SOUTH JORDAN, UT	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Dec 3, 2024	Jun 27, 2025	no	Fresno, CA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Aug 10, 2005	Dec 10, 2024	no	ENGLEWOOD, CO\|CITY OF INDUSTRY, CA\|COVINA, CA\|ENGLEWOOD, CO\|FRESNO, CA\|SAN DIEGO, CA\|Mercer Island, WA\|ENGLEWOOD, CO\|South Jordan, UT\|NEWARK, NJ	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
WEALTH MANAGEMENT CPAS, LLC	PLANMEMBER SECURITIES CORPORATION	Jul 16, 2026	Aug 6, 2026	21	Firm change	RIA to RIA
MML INVESTORS SERVICES, LLC	WEALTH MANAGEMENT CPAS, LLC	Jun 30, 2026	Jul 6, 2026	6	Firm change	Ibd to RIA
ESI FINANCIAL ADVISORS	MML INVESTORS SERVICES, LLC	Aug 22, 2025	Sep 8, 2025	17	Firm change	RIA to ibd
PRINCIPAL SECURITIES, INC.	ESI FINANCIAL ADVISORS	Jun 27, 2025	Aug 12, 2025	46	Firm change	Ibd to RIA
PRUCO SECURITIES, LLC	PRINCIPAL SECURITIES, INC.	Dec 10, 2024	Dec 3, 2024	-7	Firm change	Other

Relationships

Registered with (6)

→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: current employment
Aug 6, 2026 to presentfactForm ADV
→ WEALTH MANAGEMENT CPAS, LLCRegistered adviserregistration: previous registration
Jul 6, 2026 to Jul 16, 2026factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Sep 8, 2025 to Jun 30, 2026factForm ADV
→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Aug 12, 2025 to Aug 22, 2025factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Dec 3, 2024 to Jun 27, 2025factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Aug 10, 2005 to Dec 10, 2024factForm ADV

Dated events

Occurred
Jul 16, 2026
Advisor changed firm
Bradley G. Sofonia left Wealth Management Cpas, Llc for Planmember Securities Corporation (registered 2026-08-06)
Form ADVobserved 4 days ago
Occurred
Jun 30, 2026
Advisor changed firm
Bradley G. Sofonia left Mml Investors Services, Llc for Wealth Management Cpas, Llc (registered 2026-07-06)
Form ADVobserved 4 days ago
Occurred
Aug 22, 2025
Advisor changed firm
Bradley G. Sofonia left Esi Financial Advisors for Mml Investors Services, Llc (registered 2025-09-08)
Form ADVobserved 4 days ago
Occurred
Jun 27, 2025
Advisor changed firm
Bradley G. Sofonia left Principal Securities, Inc. for Esi Financial Advisors (registered 2025-08-12)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2024
Advisor changed firm
Bradley G. Sofonia left Pruco Securities, Llc for Principal Securities, Inc. (registered 2024-12-03)
Form ADVobserved 4 days ago