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Alfred Sosa

Esi Financial Advisors
29 Years of Experience
Cary, NC
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Alfred Sosa is a registered investment advisor at Esi Financial Advisors, based in Cary, NC, with 29 years of industry experience. Alfred is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 12,379 clients with $2.8B in assets under management.

Esi Financial Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
534 advisors
Number of Clients
12,379 clients
Average Client Portfolio
$224K average
Assets Under Management
$2.8B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $2.5M0.75%
$2.5M - $5.0M0.60%
$5.0M - $10.0M0.50%
$10M+0.35%

Rates reflect the primary schedule used in programs like American Funds and Schwab Retirement Advisor Services. Other programs have different maximum fees (AssetMark up to 1.50%, Saratoga up to 2.00%, SEI up to 1.75% plus 0.05% administrative fee). Actual fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2500 Regency Pkwy, Ste 119, Cary, NC, 27518

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
February 1987
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Alfred is a brokerage director involved with life insurance, fixed annuities, disability insurance, and equity index annuities since 2020. He dedicates minimal time to this activity.

Employment History
Current Registrations
Esi Financial Advisors
June 2025 - Present · 1 yr 4 mos
Equity Services, INC.Broker
June 2025 - Present · 1 yr 4 mos
Previous Registrations
MML Investors Services, LLC
February 2021 - June 2025 · 4 yrs 4 mos
MML Investors Services, LLCBroker
January 2021 - June 2025 · 4 yrs 5 mos
Mutual of Omaha Investor Services, INC.
June 2018 - October 2020 · 2 yrs 4 mos
Mutual of Omaha Investor Services, INC.Broker
May 2018 - October 2020 · 2 yrs 5 mos
Transamerica Financial Advisors, INCBroker
June 2016 - April 2018 · 1 yr 10 mos
Sagepoint Financial, INC.Broker
February 2014 - January 2016 · 1 yr 11 mos
Metlife Securities INC.Broker
January 2011 - September 2013 · 2 yrs 8 mos
Signator Investors, INC.
November 2003 - April 2005 · 1 yr 5 mos
Signator Investors, INC.Broker
October 2003 - January 2011 · 7 yrs 3 mos
Metlife Securities INC.
October 1995 - October 2003 · 8 yrs
Metlife Securities INC.Broker
October 1995 - October 2003 · 8 yrs
Metropolitan Life Insurance CompanyBroker
October 1995 - October 2003 · 8 yrs
State Registrations2 states
FLNC
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Alfred Sosa - Financial Advisor | TrueAdvisor