Roque H. Sosa Diaz
Professional summary
Roque H Sosa Diaz, who also goes by Rocky Sosa, Roque Sosa, Rocky Sosa Diaz, Roque Hugo Sosa Diaz, is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.
Roque is registered as a RR (Registered Representative) and started their career in finance in 2012. Roque has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roque H Sosa Diaz's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 6, 2024 - Present
ALPACA SECURITIES LLC
Office #1: 12 E 49th St. Floor 11, New York, NY 10017December 24, 2013 - September 8, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2013 - September 8, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 11, 2013 - April 1, 2013
COLUMBUS ADVISORY GROUP, LTD.
April 5, 2012 - July 31, 2012
JOHN THOMAS FINANCIAL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/7/2025)
Exams
Series 7TO
Date: 5/6/2024
General Securities Representative ExaminationFINRA
Investors' Exchange LLC
Nasdaq BX, Inc.
Nasdaq Stock Market
Current Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
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.
