David Sosa

CETERA INVESTMENT ADVISERS LLC

HOLLYWOOD, FL

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CRD#: 2447013

Professional summary

David Sosa is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hollywood, Florida and CETERA INVESTMENT SERVICES LLC located in Lake Mary, Florida.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 7 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. FORTHRIGHT RESOURCES LLC, RECRUITING, 100% OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Sosa's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 17, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 4094 W Lake Mary Blvd, Lake Mary, FL 32746

RIA

CRD#: 105644

HOLLYWOOD, FL

Current

February 23, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 4094 W Lake Mary Blvd, Lake Mary, FL 32746

CRD#: 15340

Lake Mary, FL

Past

December 7, 2004 - October 27, 2005

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

JACKSON HEIGHTS, NY

Past

December 11, 2000 - October 27, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

May 14, 1998 - December 12, 2000

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

August 15, 1996 - April 13, 1998

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

July 19, 1994 - August 31, 1994

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

April 20, 1994 - May 17, 1994

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

IAR

Florida
(2/17/2023)

Florida
(2/24/2023)

Maryland
(5/13/2024)

New Jersey
(8/29/2023)

North Carolina
(5/7/2024)

Tennessee
(5/8/2024)

Virginia
(5/9/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/7/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/3/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/30/2023

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/4/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 12/13/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

David Sosa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Sosa's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

WAMU INVESTMENTS, INC.

FIRST UNION BROKERAGE SERVICES, INC.

CITICORP INVESTMENT SERVICES

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/7/2022

Series 65

Date: 11/3/2004

Series 63

Date: 4/22/1994

Series 7TO

Date: 1/30/2023

Series 6TO

Date: 1/4/2023

SIE

Date: 12/13/2022

Series 7

Date: 4/19/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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