Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Gabriel Sosa is a financial advisor who has been in the industry since 2010. Charles is currently registered with LPL Financial LLC and has been with the firm since December 2021. Prior to joining LPL Financial LLC, Charles was with Securities America, Inc. from October 2017 to December 2021 and National Planning Corporation from February 2010 to October 2017. Charles specializes in providing financial planning, portfolio management for individuals and businesses, and consulting services. Charles is registered in 25 states and has a Series 7 and Series 66 license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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CA
12/16/2021 - Present
LPL Financial LLC (SANTA ANA CA)
CA
10/16/2017 - 12/21/2021
SECURITIES AMERICA, INC. (SANTA ANA CA)
CA
02/26/2010 - 10/24/2017
NATIONAL PLANNING CORPORATION (IRVINE CA)
BOTH
Issued 05/24/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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