ES
Edward J. Sokolosky
Some features on this profile are disabled
CRD#: 430187
ES
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.
Edward Joseph Sokolosky, who also goes by Ed Sokolosky, Edward Joseph Sokolosky Mr., Edward Sokolosky, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1973. Edward had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 1, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ed Sokolosky | Edward Joseph Sokolosky Mr. | Edward Sokolosky
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 - NAME OF OTHER BUSINESS: UNITED CAPITAL FINANCIAL ADVISORS, LLC DBA UCFA, LLC, UNITED CAPITAL, UNITED CAPITAL FINANCIAL LIFE MANAGEMENT, UNITED CAPITAL PRIVATE WEALTH COUNSELING & UNITED CAPITAL RETIREMENT ADVISERS. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT ADVISORY FIRM REGISTERED WITH THE SEC POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 04/10/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR PROVIDING ADVISORY SERVICES TO ITS CLIENTS, INCLUDING DISCRETIONARY INVESTMENT MANAGEMENT AND FINANCIAL GUIDANCE 2. NAME OF OTHER BUSINESS: FIXED INSURANCE�WITH VARIOUS COMPANIES DBA UNITED CAPITAL RISK MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH AND ANNUITIES 3. BUILDING RENTAL(JACKSON SQUARE); OWNER;NOT INVESTMENT RELATED; P.O. BOX 532228, HARLINGEN, TX 78553;BEGAN 2005; 12 HOURS PER MONTH WITH NONE DURING TRADING; LANDLORD DUTIES AND PAPERWORK. 4. GLADYS PORTER ZOO BOARD; COMMITTEE MEMBER;NOT INVESTMENT RELATED; P.O. BOX 532228, HARLINGEN, TX 78553; BEGAN 1/20/2012; LIMITED HOURS; TRAVEL, BUDGET, EDUCATION, RESOLUTIONS COMMITTEE. 5. ROTARY CLUB ENDOWMENT; COMMITTEE MEMBER;INVESTMENT RELATED; 305 E JACKSON SUITE 101 HARLINGEN, TX 78550; HARLINGEN, MEMBER; BEGAN 1/01/2013; ONE HOUR PER QUARTERLY INCLUDING DURING TRADING HOURS; ATTENDS QUARTERLY MEETINGS. 6. BUILDING RENTAL; OWNER NOT INVESTMENT RELATED;317 E JACKSON , HARLINGEN, TX 78550; BEGAN JULY 2013; 4 HOURS PER MONTH WITH NONE DURING TRADING; SOLD BUILDING. 7. NOTARY PUBLIC; NON-INVESTMENT RELATED; 8. NAME OF OTHER BUSINESS: HARLINGEN CHAMBER OF COMMERCE INVESTMENT RELATED: NO ADDRESS: 312 TYLER , HARLINGEN, TX, 78550 NATURE OF BUSINESS: CIVIC START DATE: 01/2018 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: VARIES, NONE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: VOTES AT MEETINGS, REVIEW CHAMBER FUNCTIONS AND ATTEND CHAMBER EVENTS.
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®
NoneExperience
Past
November 1, 2017 - August 20, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
HARLINGEN, TX
Past
April 10, 2015 - August 26, 2022
UNITED CAPITAL FINANCIAL ADVISORS
RIA
CRD#: 134600
HARLINGEN, TX
Past
April 10, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
HARLINGEN, TX
Past
May 18, 2010 - April 13, 2015
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
HARLINGEN, TX
Past
March 18, 2010 - April 13, 2015
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
HARLINGEN, TX
Past
March 17, 2010 - March 30, 2010
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
HARLINGEN, TX
Past
January 1, 2008 - March 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HARLINGEN, TX
Past
January 1, 2008 - March 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HARLINGEN, TX
Past
October 9, 2002 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
HARLINGEN, TX
Past
September 4, 1973 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
HARLINGEN, TX
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 10/25/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 8/25/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 8
Date: 4/20/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
