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DAVID EFREN SOSA
DAVID E SOSA
CRD#: 2536564
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 10877 WILSHIRE BLVD
STE 1700
LOS ANGELES, CA 90024
Registration History
199820002002200420062008201020122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2008 - Present (16 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2007 - Present (17 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2007 (9 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2007 - 2007 (<1 year)
License(s)

State Registrations

B
Alabama 6/6/2024

B
Missouri 4/29/2011

B
Arizona 4/29/2011

B
Montana 4/29/2011

B
California 6/5/2007

B
Nevada 1/2/2009

IA
California 12/8/2008

B
New Jersey 4/29/2011

B
Colorado 4/29/2011

B
New Mexico 4/29/2011

B
Connecticut 11/21/2011

B
New York 4/29/2011

B
District of Columbia 4/29/2011

B
North Carolina 5/2/2011

B
Florida 4/20/2017

B
Oregon 1/2/2009

B
Hawaii 4/29/2011

B
Pennsylvania 4/29/2011

B
Idaho 4/29/2011

B
Rhode Island 10/30/2012

B
Illinois 4/5/2022

B
South Carolina 1/13/2017

B
Iowa 5/27/2011

B
Tennessee 6/27/2022

B
Kentucky 10/6/2015

B
Texas 1/2/2009

B
Maine 4/29/2011

IA
Texas 11/8/2012

B
Maryland 4/29/2011

B
Utah 4/29/2011

B
Massachusetts 4/29/2011

B
Virginia 4/29/2011

B
Michigan 11/20/2015

B
Washington 2/9/2018

B
Minnesota 9/23/2020

B
Wisconsin 4/29/2011

B
Mississippi 3/8/2016

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
10877 WILSHIRE BLVD STE 1700, LOS ANGELES, CA 90024
Registered with this firm since 12/8/2008

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
10877 WILSHIRE BLVD STE 1700, LOS ANGELES, CA 90024
Registered with this firm since 6/5/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/31/2007 - 06/21/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
11/05/1997 - 06/21/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.