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Samuel Sosa

Samuel Sosa

STEELPEAK WEALTH | Financial Consultant
Santa Barbara, CA
Some features on this profile are disabled
CRD#: 5771298
Samuel Sosa

Professional summary

Samuel Sosa, who also goes by Sammy Davidescu, Samuel Davidescu, Sammy Sosa, is a registered financial advisor currently at STEELPEAK WEALTH, LLC located in Santa Barbara, California.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Samuel has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Biography

I help clients plan for the future by analyzing their situation and reducing uncertainty for their retirement years.
top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sammy Davidescu | Samuel Davidescu | Sammy Sosa

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 Samuel 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

Education

Santa Barbara College of Law

Juris Doctor (JD) - Estate Planning

2019

University of California, Los Angeles

Bachelor of Arts (BA) - Economics and Psychology

2000

Experience

Current

March 12, 2024 - Present

STEELPEAK WEALTH, LLC

RIA
CRD#: 165168
Santa Barbara, CA
Past

July 13, 2018 - January 22, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

January 23, 2017 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SANTA BARBARA, CA
Past

January 18, 2017 - January 22, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SANTA BARBARA, CA
Past

September 2, 2015 - January 10, 2017

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CARPINTERIA, CA
Past

October 1, 2012 - January 10, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CARPINTERIA, CA
Past

June 22, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SANTA BARBARA, CA
Past

January 3, 2011 - May 21, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MONTECITO, CA
Past

July 5, 2010 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
MONTECITO, CA

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".
SW
STEELPEAK WEALTH, LLC
ALPHA SUMMIT INVESTMENTS | STEELPEAK WEALTH, LLC | STEELPEAK WEALTH | STEELPEAK SPORTS | STEEL PEAK WEALTH MANAGEMENT, LLC | GOLDMAN WEALTH | BERNATHY WEALTH ADVISORS, LLC

CRD#: 165168 / SEC#: 801-77132

RIA
Registered Investment Advisory firm - (9/10/2012 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
California
(3/12/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/26/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/14/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/2/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SW
STEELPEAK WEALTH, LLC
ALPHA SUMMIT INVESTMENTS | STEELPEAK WEALTH, LLC | STEELPEAK WEALTH | STEELPEAK SPORTS | STEEL PEAK WEALTH MANAGEMENT, LLC | GOLDMAN WEALTH | BERNATHY WEALTH ADVISORS, LLC

CRD#: 165168 / SEC#: 801-77132

RIA
Registered Investment Advisory firm - (9/10/2012 Approved)
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Contact information

Main Address
21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367
Mailing Address
Phone number
(818) 835-8720
Established
Firm type
Fiscal year end
# of Employees
56

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts8,369
AUM (Assets Under Management)$ 3,439,042,634

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.

Company Information

STEELPEAK WEALTH, LLC

Financial ConsultantCRD#: 165168Santa Barbara, CA

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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