Ronald A. Sosa
Professional summary
Ronald Alexander Sosa, who also goes by Ronald A Sosa, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in West Covina, California.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 2011. Ronald has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ronald Alexander Sosa's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2017 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 2360 S Azusa Ave Ste C, West Covina, CA 91792-1540May 2, 2016 - March 30, 2017
J.P. MORGAN SECURITIES LLC
July 7, 2015 - February 5, 2016
SIGNATOR INVESTORS, INC.
October 1, 2012 - July 16, 2013
J.P. MORGAN SECURITIES LLC
August 15, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/24/2017)
Exams
FINRA
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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