Cesar A. Cortes

SUMUS FINANCIAL

SHELTON, CT 06484

CRD#: 5596243

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Professional summary

Cesar A. Cortes, who also goes by Cesar Cortes, Cesar A. Cortes-diaz, Cesar Cortes-diaz, is a registered financial advisor currently at SUMUS FINANCIAL LLC located in Shelton, Connecticut.

Cesar is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Cesar has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cesar Cortes | Cesar A. Cortes-Diaz | Cesar Cortes-Diaz

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cesar A. Cortes's 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

May 15, 2026 - Present

SUMUS FINANCIAL LLC

Office #1: 100 Beard Sawmill Rd Suite 345, Shelton, CT 06484

RIA

CRD#: 340066

SHELTON, CT

Past

November 14, 2024 - May 28, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

SHELTON, CT

Past

November 14, 2024 - May 28, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

SHELTON, CT

Past

October 14, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SHELTON, CT

Past

October 14, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

SHELTON, CT

Past

February 5, 2013 - November 13, 2020

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Shelton, CT

Past

February 5, 2013 - November 13, 2020

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Shelton, CT

Past

January 15, 2009 - February 5, 2013

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SHELTON, CT

Past

December 24, 2008 - February 5, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SHELTON, CT

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

Connecticut
(5/15/2026)

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: 11/17/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/4/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SUMUS FINANCIAL LLC

CRD#: 340066 / SEC#:

Connecticut

Registered Investment Advisory firm - (5/15/2026 Approved)

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Contact information

Main Address

100 Beard Sawmill Rd Suite 345, Shelton, CT 06484

Mailing Address

Phone number

(203) 368-1086

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Cesar A. Cortes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cesar A. Cortes's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2008

Series 63

Date: 10/24/2008

SIE

Date: 10/1/2018

Series 6

Date: 10/4/2008

Current Firm

SUMUS FINANCIAL LLC

Contact information

Documents

Red Flags

Company Information

SUMUS FINANCIAL LLC

TRUST BUT VERIFY

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