MS
Michael J. Sosa
CETERA INVESTMENT ADVISERS LLC
JACKSON, NJ 08527
Some features on this profile are disabled
CRD#: 1743743
MS
Professional summary
Michael Joseph Sosa is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jackson, New Jersey and CETERA ADVISORS LLC located in Jackson, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 5 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 2004; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE, AND FINAL EXPENSES. 2) NAME OF OTHER BUSINESS: DBA PREMIER FINANCIAL INVESTMENT GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2004; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 2-4 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES, INSURANCE, AND TAX SERVICE BUSINESS. 3) NAME OF OTHER BUSINESS: FELICIAN SISTERS SCHOOL FOR EXCEPTIONAL CHILDREN INVESTMENT RELATED: NO ADDRESS: 262 MAIN ST LODI NJ 07644 NATURE OF BUSINESS: NON PROFIT START DATE: 10/2012 POSITION/TITLE/RELATIONSHIP: CHAIRMAN OF INVESTMENT COMMITTEE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: INVESTMENT STRATEGIES AND ASSET ALLOCATION; 4) NAME OF OTHER BUSINESS: IEEE JERSEY COAST SECTION; INVESTMENT RELATED: NO; ADDRESS: 445 HOES LANE, PISCATAWAY, NY 08854; NATURE OF BUSINESS: PROFESSIONAL ASSOCIATION; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: SECRETARY; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RECORD THE MINUTES OF THE BOARD MEETINGS; 5) NAME OF OTHER BUSINESS: ST. ALOYSIUS CHURCH; INVESTMENT RELATED: NO; ADDRESS: 935 BENNETTS MILLS RD, JACKSON, NJ 08527; NATURE OF BUSINESS: CHURCH FINANCE COMMITTEE; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: REVIEW FINANCIAL INFORMATION & PROVIDE RECOMMENDATION IF APPLICABLE;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Sosa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 19 N Countyline Rd Ste 4, Jackson, NJ 08527RIA
CRD#: 105644
JACKSON, NJ
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 19 N Countyline Rd Ste 4, Jackson, NJ 08527BD
CRD#: 10299
Jackson, NJ
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
August 3, 2004 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
JACKSON, NJ
Past
August 3, 2004 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
JACKSON, NJ
Past
June 11, 2002 - August 6, 2004
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
June 3, 1988 - February 24, 1999
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/24/2023)
RR
Arizona(10/3/2016)
RR
Colorado(6/7/2017)
RR
Delaware(4/7/2020)
RR
Florida(10/3/2016)
RR
Kentucky(1/23/2024)
RR
Massachusetts(5/25/2018)
RR
New Jersey(10/3/2016)
IAR
New Jersey(3/21/2024)
RR
New York(10/3/2016)
RR
North Carolina(10/3/2016)
RR
Oregon(8/27/2024)
RR
Pennsylvania(10/3/2016)
RR
Rhode Island(2/7/2018)
RR
South Carolina(10/3/2016)
RR
Virginia(8/29/2022)
RR
Washington(10/3/2016)
RR
Wisconsin(9/1/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Jackson, NJ 08527TRUST BUT VERIFY
Monitor Michael Sosa
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
