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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Sosa is a financial advisor with Cetera Investment Advisers LLC. David is a seasoned professional with over 23 years of experience in the financial services industry. David is registered in 7 states and has Series 7, 63, 65, and 66 licenses. David specializes in providing financial planning services to individuals, families, and businesses. David also offers portfolio management and investment advisory services.
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.
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.
A percentage of the total value of assets under management is charged.
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2
FL
02/17/2023 - Present
Cetera Investment Advisers LLC (LAKE MARY FL)
NY
12/11/2000 - 10/27/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
05/14/1998 - 12/12/2000
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NC
08/15/1996 - 04/13/1998
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
07/19/1994 - 08/31/1994
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CO
04/20/1994 - 05/17/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BOTH
Issued 10/7/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/3/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/30/2023
Series 7TO - General Securities Representative Examination
BC
Issued 1/4/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/13/2022
SIE - Securities Industry Essentials Examination
BC
Issued 4/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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