Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Sosa is an investment advisor representative at Steelpeak Wealth, LLC, with over a decade of experience in the financial services industry. Samuel has held positions at several prominent firms, including Fidelity Brokerage Services LLC, J.P. Morgan Securities LLC, and Wells Fargo Advisors, LLC. Samuel holds the Series 6, 7, 63, and 66 licenses, along with the Securities Industry Essentials (SIE) designation. Samuel specializes in providing financial planning and investment management services to individuals, high-net-worth individuals, corporations, and pension and profit-sharing plans.
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.
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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CA
03/12/2024 - Present
Steelpeak Wealth, LLC (WOODLAND HILLS CA)
CA
01/18/2017 - 01/22/2024
FIDELITY BROKERAGE SERVICES LLC (SANTA BARBARA CA)
CA
10/01/2012 - 01/10/2017
J.P. MORGAN SECURITIES LLC (CARPINTERIA CA)
CA
06/22/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SANTA BARBARA CA)
CA
01/03/2011 - 05/21/2012
WELLS FARGO ADVISORS, LLC (MONTECITO CA)
CA
07/05/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MONTECITO CA)
BOTH
Issued 08/26/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/14/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2015
Series 7 - General Securities Representative Examination
BC
Issued 07/02/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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