Cesar Cortes is a registered investment advisor at Sumus Financial LLC, based in Shelton, CT, with 16 years of industry experience. Cesar operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 2 more.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.25% |
| $1.0M - $5.0M | 0.75% |
| $5M+ | 0.50% |
Initial fee for accounts under $1,000,000 is reduced to 1.10% if the client contributes at least $10,000 annually. Fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
100 Beard Sawmill Rd, Suite 345, Shelton, CT, 06484
Get directionsHistory
Regulatory History (1)
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Customer Dispute
December 2015Denied
Employment History
Current Registrations
Sumus Financial LLC
May 2026 - Present · 5 mos
Previous Registrations
LPL Enterprise, LLCBroker
November 2024 - May 2025 · 6 mos
LPL Enterprise, LLC
November 2024 - May 2025 · 6 mos
Pruco Securities, LLC.Broker
October 2020 - November 2024 · 4 yrs 1 mo
Prudential Financial Planning Services
October 2020 - November 2024 · 4 yrs 1 mo
Western International Securities
February 2013 - November 2020 · 7 yrs 9 mos
Western International Securities, INC.Broker
February 2013 - November 2020 · 7 yrs 9 mos
Metlife Securities INC.
January 2009 - February 2013 · 4 yrs 1 mo
Metlife Securities INC.Broker
December 2008 - February 2013 · 4 yrs 2 mos
State Registrations1 state
CT
Advisor
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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