David Sosa is a registered investment advisor, based in Hollywood, FL, with 12 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Hollywood, FL
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Regulatory History (12)
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Customer Dispute
August 2025Pending
Customer Dispute
April 2025Denied
Customer Dispute
February 2025Denied
Customer Dispute
December 2024Denied
Customer Dispute
November 2024Settled
Criminal
October 2014Final Disposition
Customer Dispute
May 2006Settled
Customer Dispute
October 2003Settled
Customer Dispute
August 2003Denied
Customer Dispute
February 2003Denied
Customer Dispute
October 2002Denied
Criminal
March 2001Final Disposition
Other Business Activities
David is the 100% owner of Forthright Resources LLC, a recruiting business.
Employment History
Current Registrations
Cetera Investment Services LLC
February 2023 - Present · 3 yrs 8 mos
Cetera Investment Services LLCBroker
February 2023 - Present · 3 yrs 8 mos
Cetera Investment Advisers LLC
February 2023 - Present · 3 yrs 8 mos
Previous Registrations
Citicorp Investment Services
December 2004 - October 2005 · 10 mos
Citicorp Investment ServicesBroker
December 2000 - October 2005 · 4 yrs 10 mos
Wm Financial Services, INC.Broker
May 1998 - December 2000 · 2 yrs 7 mos
First Union Brokerage Services, INC.Broker
August 1996 - April 1998 · 1 yr 8 mos
Citicorp Investment ServicesBroker
July 1994 - August 1994 · 1 mo
Chatfield Dean & CO., INC.Broker
April 1994 - May 1994 · 1 mo
State Registrations8 states
FLGAMDNCNJTNTXVA
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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