AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AS

Ashley P. Sosner

Some features on this profile are disabled
CRD#: 1846978
AS

Professional summary

Ashley Paul Sosner was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ashley is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Ashley had worked at 10 firms, which includes STERLING FINANCIAL INVESTMENT GROUP INC., GRUNTAL & CO. L.L.C., SSI SECURITIES CORP., GKN SECURITIES CORP., HANOVER STERLING & COMPANY LTD., GAIN SECURITIES, CIBC WORLD MARKETS CORP., BARBER & BRONSON INCORPORATED, CITIGROUP GLOBAL MARKETS INC., J. W. GANT & ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lee Sosner

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 30, 2001 - August 8, 2003

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

January 22, 2001 - November 1, 2001

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

November 10, 2000 - February 1, 2001

SSI SECURITIES CORP.

BD
CRD#: 8275
BOCA RATON, FL
Past

May 7, 1996 - January 2, 2001

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

March 24, 1994 - April 23, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

March 16, 1994 - April 26, 1994

HANOVER, STERLING & COMPANY LTD.

BD
CRD#: 15491
NEW YORK, NY
Past

January 26, 1993 - January 25, 1994

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

June 19, 1992 - July 13, 1992

GAIN SECURITIES

BD
CRD#: 16203
BEDMINSTER, NJ
Past

November 22, 1991 - August 13, 1992

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

June 19, 1991 - November 15, 1991

BARBER & BRONSON INCORPORATED

BD
CRD#: 26582
MIAMI, FL
Past

March 1, 1991 - July 3, 1991

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 20, 1988 - June 7, 1989

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination

Current Firm

SF
STERLING FINANCIAL INVESTMENT GROUP, INC.
AGORA SECURITIES, INC. | STERLING FINANCIAL INVESTMENT GROUP, INC. | STERLING FINANCIAL INVESTMENT GROUP | MICHAEL SCOTT WEEKS

CRD#: 41506 / SEC#: , 8-49503

BD
Terminated by SEC on 08/22/2006
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
Mailing Address
Phone number
Established
Florida since 05/30/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.)COMPANY
GARCIA, CHARLES PATRICKCHIEF EXECUTIVE OFFICER2933864

Disclosures

Regulatory Event8
Arbitration4

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

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

TRUST BUT VERIFY

Monitor Ashley Sosner

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics