Miguel E. Sosa
Professional summary
Miguel Ernesto Sosa is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in La Jolla, California.
Miguel is registered as a RR (Registered Representative) and started their career in finance in 2022. Miguel has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Miguel Ernesto Sosa's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 22, 2025 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 4225 Executive Square #1600, La Jolla, CA 92037November 8, 2022 - September 8, 2025
BLUEROCK CAPITAL MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2025)
Exams
Series 7TO
Date: 11/8/2022
General Securities Representative ExaminationFINRA
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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