Jose E. Sobral
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.
Jose Edimilson Sobral, who also goes by Ed Sobral, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1998. Jose had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2016 - July 7, 2017
EAGLE STRATEGIES LLC
June 6, 2014 - July 7, 2017
NYLIFE SECURITIES LLC
November 26, 2001 - September 22, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 12, 1999 - September 22, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 1, 1998 - August 17, 1999
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
