Alisia E. Sosa
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.
Alisia E Sosa, who also goes by Alisia Elizabeth Nolan, Alisia Nolan, Alisia Elizabeth Sosa, was a registered financial professional .
Alisia is a previously registered financial professional and started their career in finance in 2009. Alisia had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2016 - December 31, 2022
COMPASS SECURITIES CORPORATION
March 6, 2012 - October 24, 2016
FIRST CITIZENS CAPITAL SECURITIES, LLC
September 30, 2009 - February 23, 2010
COLLINS/BAY ISLAND SECURITIES, LLC
September 29, 2009 - February 23, 2010
COLLINS/BAY ISLAND SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMPASS SECURITIES CORPORATION
CRD#: 16168 / SEC#: , 8-33438
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
