Individual Firm
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DAVID WILLIAM SOSA
DAVID William SOSA, DAVID SOSA
CRD#: 6725101
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 8061 VIA DELLAGIO WAY
ORLANDO, FL 32819
ORLANDO, FL 32819
CETERA INVESTMENT SERVICES LLCCRD#: 15340 8061 VIA DELLAGIO WAY
ORLANDO, FL 32819
ORLANDO, FL 32819
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9/6/2024
Customer Dispute
Denied
9/21/2018
Financial
Final
State Registrations
B
Alabama 10/5/2021
B
Georgia 11/5/2024
B
Florida 9/30/2021
B
New Jersey 5/3/2024
IA
Florida 10/4/2021
B
South Carolina 2/27/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/4/2021
B
Registered with this firm since 9/29/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2019 - 09/29/2021 | MIAMI, FL | |
B | 12/27/2018 - 09/29/2021 | MIAMI, FL | |
IA | 04/20/2017 - 07/24/2018 | MIAMI, FL | |
B | 12/20/2016 - 07/24/2018 | MIAMI, FL |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.