Luis Sosa
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Luis Sosa JR, who also goes by Luis Desosa, Lou Desota, Louis Sachs, Louis Sosa, Luis Jr Sosa, Luis Sosa, Sachs Sosa, Soto, was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1993. Luis had worked at 24 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2014 - January 30, 2015
DAVID LERNER ASSOCIATES, INC.
February 28, 2006 - November 29, 2006
J.H. DARBIE & CO., INC.
December 5, 2005 - February 17, 2006
E1 ASSET MANAGEMENT, INC.
June 30, 2005 - July 19, 2005
ANDREW GARRETT INC.
April 16, 2004 - November 12, 2004
PRO-INTEGRITY SECURITIES, INC.
July 30, 2003 - October 28, 2003
SALOMON GREY FINANCIAL CORPORATION
April 23, 2002 - July 28, 2003
INDIANAPOLIS SECURITIES, INC.
December 3, 2001 - April 15, 2002
SOURCE CAPITAL GROUP, INC.
April 10, 2001 - November 28, 2001
ALEXANDER, WESCOTT, & CO., INC.
December 4, 1998 - October 21, 1999
SCHONFELD SECURITIES, LLC
July 27, 1998 - August 28, 1998
J.W. BARCLAY & CO., INC.
July 6, 1998 - July 16, 1998
ROYAL HUTTON SECURITIES CORP.
April 1, 1998 - June 23, 1998
MILLENNIUM SECURITIES CORP.
November 26, 1997 - January 26, 1998
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
June 28, 1996 - September 4, 1996
FIRST COLONIAL SECURITIES
April 17, 1996 - June 28, 1996
KENSINGTON WELLS INCORPORATED
October 31, 1995 - April 15, 1996
DUKE & CO., INC.
April 10, 1995 - August 2, 1995
INVESTORS ASSOCIATES, INC.
November 11, 1994 - March 21, 1995
FIRST CAMBRIDGE SECURITIES CORPORATION
September 22, 1994 - October 3, 1994
PARAGON CAPITAL MARKETS, INC.
June 1, 1994 - July 7, 1994
A. T. BROD & CO. INC.
April 22, 1994 - May 13, 1994
JOSEPHTHAL & CO., INC.
December 17, 1993 - February 24, 1994
LADENBURG THALMANN & CO. INC.
December 13, 1993 - August 5, 1994
M. RIMSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
