RS
Rafael Sosa Matos
LEVEL FOUR ADVISORY SERVICES
OVIEDO, FL
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CRD#: 2244039
RS
Professional summary
Rafael Sosa Matos, who also goes by Rafael Sosa, is a registered financial advisor currently at LEVEL FOUR ADVISORY SERVICES located in Oviedo, Florida and LEVEL FOUR FINANCIAL, LLC located in Ovideo, Florida.
Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Rafael has worked at 16 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rafael Sosa
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.
LEVEL FOUR ADVISORY SERVICES, LLC, SEC REGISTERED INVESTMENT ADVISOR, 12400 COIT ROAD, SUITE 700, DALLAS TX 75251, SUPERVISORY PRINCIPAL / BRANCH MANAGER, DEVOTE 50% OF TIME BETWEEN LFF AND LFAS, STARTED 4/2023.
CRS (Client Relationship Summary) - RIA
Click below to view Rafael Sosa Matos'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
April 25, 2023 - Present
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
OVIEDO, FL
Current
April 4, 2023 - Present
LEVEL FOUR FINANCIAL, LLC
BD
CRD#: 25700
OVIDEO, FL
Past
October 28, 2019 - September 13, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
LAKE MARY, FL
Past
October 28, 2019 - September 13, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
LAKE MARY, FL
Past
November 14, 2017 - May 17, 2019
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
Maitland, FL
Past
November 9, 2016 - May 17, 2019
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Maitland, FL
Past
June 13, 2014 - April 22, 2016
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
MAITLAND, FL
Past
February 20, 2013 - April 1, 2014
MORGAN STANLEY
RIA
CRD#: 149777
WINTER PARK, FL
Past
December 14, 2012 - April 1, 2014
MORGAN STANLEY
BD
CRD#: 149777
WINTER PARK, FL
Past
September 22, 2010 - December 19, 2012
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
LONGWOOD, FL
Past
November 19, 2008 - July 14, 2010
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
LONGWOOD, FL
Past
February 26, 2008 - December 23, 2008
EMPIRE FINANCIAL GROUP, INC.
BD
CRD#: 28759
LONGWOOD, FL
Past
August 22, 2006 - February 14, 2008
EMPIRE FINANCIAL GROUP, INC.
BD
CRD#: 28759
LONGWOOD, FL
Past
May 11, 2005 - July 21, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
March 19, 2003 - August 12, 2003
CARLIN EQUITIES, LLC
BD
CRD#: 31295
NEW YORK, NY
Past
November 12, 2001 - October 14, 2002
BANIF SECURITIES INC
BD
CRD#: 38913
MIAMI, FL
Past
July 19, 1999 - December 8, 2000
ROBERT FLEMING INC.
BD
CRD#: 1711
NEW YORK, NY
Past
October 21, 1997 - January 19, 1999
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
January 21, 1994 - October 2, 1997
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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".
LF
LEVEL FOUR ADVISORY SERVICES
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE CAPITAL MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC
CRD#: 134086 / SEC#: 801-66368
RIA
Registered Investment Advisory firm - (3/3/2006 Approved)Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)California
Registered Investment Advisory firm - (3/8/2006 Terminated)New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)New York
Registered Investment Advisory firm - (3/7/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)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(4/25/2023)
RR
Alaska(4/26/2023)
RR
Arizona(5/3/2023)
RR
Arkansas(5/3/2023)
RR
California(4/25/2023)
RR
Colorado(4/26/2023)
RR
Connecticut(4/26/2023)
RR
Delaware(5/15/2023)
RR
District of Columbia(4/26/2023)
RR
Florida(4/10/2023)
IAR
Florida(4/25/2023)
RR
Georgia(4/27/2023)
RR
Hawaii(4/26/2023)
RR
Idaho(4/25/2023)
RR
Illinois(4/26/2023)
RR
Indiana(4/28/2023)
RR
Iowa(4/27/2023)
RR
Kansas(4/25/2023)
RR
Kentucky(4/25/2023)
RR
Louisiana(4/28/2023)
RR
Maine(4/25/2023)
RR
Maryland(4/25/2023)
RR
Massachusetts(4/26/2023)
RR
Michigan(4/27/2023)
RR
Minnesota(4/25/2023)
RR
Mississippi(4/26/2023)
RR
Missouri(4/25/2023)
RR
Montana(5/3/2023)
RR
Nebraska(4/25/2023)
RR
Nevada(5/1/2023)
RR
New Hampshire(4/25/2023)
RR
New Jersey(4/25/2023)
RR
New Mexico(4/25/2023)
RR
New York(4/25/2023)
RR
North Carolina(4/27/2023)
RR
North Dakota(5/1/2023)
RR
Ohio(4/25/2023)
RR
Oklahoma(4/25/2023)
RR
Oregon(5/4/2023)
RR
Pennsylvania(4/26/2023)
RR
Rhode Island(5/2/2023)
RR
South Carolina(4/27/2023)
RR
South Dakota(4/25/2023)
RR
Tennessee(4/26/2023)
RR
Texas(4/25/2023)
RR
Utah(4/25/2023)
RR
Vermont(4/25/2023)
RR
Virginia(4/26/2023)
RR
Washington(4/26/2023)
RR
West Virginia(4/27/2023)
RR
Wisconsin(4/25/2023)
RR
Wyoming(5/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/14/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LEVEL FOUR ADVISORY SERVICES
A++ INVESTMENTS, INC. | WORTHY & ASSOCIATES FINANCIAL & ESTATE PLANNING | WALTERS WEALTH MANAGEMENT | WALL STREET FINANCIAL | VIRTUS WEALTH MANAGEMENT | V&E WEALTH MANAGEMENT | TRANSFORM 401(K) | TLC ADVISORY GROUP | TIMBERLINE WEALTH MANAGEMENT | THOMAS PRIVATE WEALTH MANAGEMENT | SUNRISE RETIREMENT & FINANCIAL CONSULTANTS | SUMMIT FINANCIAL ADVISORS | SJF INVESTMENT MANAGEMENT | SILVESTRI ASSET MANAGEMENT | SHERMANINVEST | SANDBAR INVESTMENT MANAGEMENT | SA PIGGUSH FINANCIAL CONSULTANTS | RSM FINANCIAL SOLUTIONS | REGROUP WEALTH, LLC | PINNACLE WEALTH ADVISORS | PIERCE AND GARLAND WEALTH MANAGEMENT | PHILLIPS WEALTH MANAGEMENT | PERSONALIZED SERVICES INSURANCE | PAUL R. MORRIS INTEGRATED STRATEGIES | PARKER FINANCIAL SERVICES | OPUS WEALTH MANAGEMENT GROUP | NORTH POINT FINANCIAL PLANNERS | NEW HORIZONS FINANCIAL CONSULTANTS | NEUBRANDER FINANCIAL SERVICES | MYDIGITALADVISER | MORTON WEALTH MANAGEMENT | MJM WEALTH MANAGEMENT, LLC | MISSION FINANCIAL PLANNING | MISSION FINANCIAL ADVISORY SERVICES | MID-ATLANTIC SECURITIES, A LEVEL FOUR FINANCIAL & LEVEL FOUR ADVISORY SERVICES COMPANY | MARKET SQUARE ADVISORS | MAGNUSON FINANCIAL | MACUDA FINANCIAL GROUP | LION CROWN WEALTH MANAGEMENTL, LLC | LEVEL FOUR WEALTH MANAGEMENT | LEVEL FOUR SPORTS & ENTERTAINMENT | LEVEL FOUR PRIVATE CLIENT, LLC | LEVEL FOUR FINANCIAL | LEVEL FOUR ADVISORY SERVICES, LLC | LEVEL FOUR ADVISORY SERVICES, A DIVISION OF CARR, RIGGS AND INGRAM CAPITAL LLC | LEVEL FOUR ADVISORY SERVICES | LEMOINE WEALTH MANAGEMENT, LLC | LEGACY WEALTH PARTNERS | KIRKLEY INVESTMENT GROUP, LLC | KING TIDE RETIREMENT PARTNERS | KEYSTONE WEALTH MANAGEMENT | KEIBER SENIOR SERVICES | KEIBER RETIREMENT SOLUTIONS | JEFF HARRIS & ASSOCIATES | JACKSON WEALTH MANAGEMENT, LLC | INTELUS WEALTH MANAGEMENT, LLC | INTEGRITY FINANCIAL GROUP | IGNITE FINANCIAL GROUP | HORVATH PLANNING & WEALTH MANAGEMENT, LLC | HLG WEALTH MANAGEMENT, LLC | HARBOR FINANCIAL SERVICES | GRANVILLE FINANCIAL | GORE CAPITAL MANAGEMENT | GOLDEN LEAF ASSET MANAGEMENT | GARRETT WEALTH MANAGEMENT | FRIEDMAN FINANCIAL STRATEGIES | FREEDOM FIRST WEALTH MANAGEMENT | FREEDOM FIRST ADVISORS | FPX | FOUNDATION WEALTH PARTNERS | FINANCIAL SERVICES OF CENTRAL ILLINOIS | FINANCIAL INDEPENDENCE, LLC | FAUBOURG PRIVATE WEALTH, LLC | FAUBOURG PRIVATE WEALTH ADVISORS | FAUBOURG PRIVATE WEALTH - LEMOINE AND ASSOCIATES | ENTIRETY WEALTH SOLUTIONS | ELEVATE WEALTH MANAGEMENT | EFC ADVISORS, LLC | EBERLIN FINANCIAL SERVICES | DF CONSULTANTS | DEVLIN FINANCIAL CONSULTING | DAKOTA FINANCIAL CENTER | CRESCENT CAPITAL MANAGEMENT | COWEN FINANCIAL SERVICES | CORE WEALTH PLANNING | CONSULTING AND INVESTMENT OF PANAMA CITY | CONNECTIONS FINANCIAL ADVISORS | COHEN INVESTMENT MANAGEMENT | CAPITAL FINANCIAL RESOURCES WEALTH MANAGEMENT | BRUNO INVESTMENT MANAGEMENT | BLAKE FINANCIAL, INC. | BERRY FINANCIAL GROUP | ARMOR WEALTH GROUP | ANDERSTON WEALTH MANAGEMENT | ALLGOOD FINANCIAL | ACCESS ADVISORS, LLC
CRD#: 134086 / SEC#: 801-66368
RIA
Registered Investment Advisory firm - (3/3/2006 Approved)Arizona
Registered Investment Advisory firm - (3/7/2006 Terminated)California
Registered Investment Advisory firm - (3/8/2006 Terminated)New Jersey
Registered Investment Advisory firm - (3/7/2006 Terminated)New York
Registered Investment Advisory firm - (3/7/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/7/2006 Terminated)Texas
Registered Investment Advisory firm - (3/7/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12400 Coit Road Suite 700, Dallas, TX 75251
Mailing Address
Phone number
(972) 665-0878
Established
Firm type
Fiscal year end
# of Employees
132
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,510 |
| AUM (Assets Under Management) | $ 5,320,412,049 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2024 | ||
| 06/30/2023 |
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.
