Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Victor Sosa is a registered representative with Capital Client Group, Inc. Charles is a financial advisor with 12 years of experience in the industry. Charles has been with Capital Client Group, Inc. since August 9, 2018. Charles is registered to provide investment advice in California, Florida, Puerto Rico, and Texas. Charles is also registered with FINRA as a Registered Representative (Series 7, Series 6, Series 63 and Series 65). Charles Victor Sosa offers financial advice to individuals, corporations, and institutions.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
1
2
CA
08/09/2018 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
IA
Issued 06/21/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/03/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/08/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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