SP
SP
Sotero Perez
17 Years of Experience
Ponce, PR
5 DisclosuresBrokerSells Insurance
Sotero Perez is a registered investment advisor at Cetera Investment Advisers LLC, based in Ponce, PR, with 17 years of industry experience. Sotero is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
Ponce, PR
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Regulatory History (5)
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Customer Dispute
January 2019Settled
Customer Dispute
December 2018Settled
Customer Dispute
March 2018Settled
Customer Dispute
June 2017Settled
Customer Dispute
May 2016Settled
Other Business ActivitiesSells Insurance
Sotero is an insurance agent selling various insurance products since 2017. He is also a committee member for a non-profit organization and the owner of Sotero Morales Financial Services.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLCBroker
March 2017 - Present · 9 yrs 7 mos
Previous Registrations
Cetera Advisor Networks LLC
January 2021 - June 2023 · 2 yrs 5 mos
MML Investors Services, LLCBroker
May 2015 - December 2016 · 1 yr 7 mos
Oriental Financial Services CORP.Broker
May 2013 - June 2014 · 1 yr 1 mo
UBS Financial Services Incorporated of Puerto RicoBroker
February 2008 - June 2013 · 5 yrs 4 mos
UBS Financial Services INC.Broker
December 2007 - June 2013 · 5 yrs 6 mos
State Registrations3 states
FLGAPR
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.