Ognjen Sosa

BRECKINRIDGE CAPITAL ADVISORS

BOSTON, MA 02110-1529

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CRD#: 5081255

Professional summary

Ognjen Sosa is a registered financial advisor currently at BRECKINRIDGE CAPITAL ADVISORS INC located in Boston, Massachusetts.

Ognjen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Ognjen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ognjen 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

March 8, 2022 - Present

BRECKINRIDGE CAPITAL ADVISORS INC

Office #1: 125 High Street Suite 431, Boston, MA 02110-1529

RIA

CRD#: 107143

BOSTON, MA

Past

May 12, 2016 - February 24, 2020

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

BOSTON, MA

Past

January 14, 2009 - May 12, 2016

PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430

BOSTON, MA

Past

March 5, 2008 - January 30, 2009

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

March 9, 2006 - January 11, 2007

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

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".

BRECKINRIDGE CAPITAL ADVISORS INC

CRD#: 107143 / SEC#: 801-43833

RIA

Registered Investment Advisory firm - (4/29/1993 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(3/8/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/8/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 6/8/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 5/16/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/8/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/2016

General Securities Principal Examination

Current Firm

BRECKINRIDGE CAPITAL ADVISORS INC

CRD#: 107143 / SEC#: 801-43833

RIA

Registered Investment Advisory firm - (4/29/1993 Approved)

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Contact information

Main Address

125 High Street Suite 431, Boston, MA 02110-1529

Mailing Address

Phone number

(617) 443-0779

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRECKINRIDGE CAPITAL ADVISORS FORM ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	18,559
AUM (Assets Under Management)	$ 50,989,726,048

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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Advisor Monitoring

Firm Stability Insights

Ognjen Sosa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FIDELITY DISTRIBUTORS COMPANY LLC

PYRAMIS DISTRIBUTORS CORPORATION LLC

FIDELITY DISTRIBUTORS COMPANY LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

Primary Firm SEC Registration

BRECKINRIDGE CAPITAL ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/2022

Series 63

Date: 3/22/2006

SIE

Date: 10/1/2018

Series 86

Date: 6/8/2006

Series 87

Date: 5/16/2006

Series 7

Date: 3/8/2006

Series 24

Date: 8/12/2016

Current Firm

BRECKINRIDGE CAPITAL ADVISORS INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRECKINRIDGE CAPITAL ADVISORS INC

TRUST BUT VERIFY

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