DS
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David Sosa
8 Years of Experience
Orlando, FL
2 DisclosuresBroker
David Sosa is a registered investment advisor at Cetera Investment Advisers LLC, based in Orlando, FL, with 8 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
5084 Dr Phillips Blvd, Orlando, FL, 32819
Get directionsHistory
Regulatory History (2)
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Customer Dispute
September 2024Denied
Financial
September 2018Final
Employment History
Current Registrations
Cetera Investment Advisers LLC
August 2025 - Present · 1 yr 1 mo
Cetera Investment Services LLCBroker
June 2025 - Present · 1 yr 3 mos
Previous Registrations
LPL Financial LLC
April 2025 - May 2025 · 1 mo
LPL Financial LLCBroker
April 2025 - May 2025 · 1 mo
Cetera Investment Advisers LLC
October 2021 - April 2025 · 3 yrs 6 mos
Cetera Investment Services LLCBroker
September 2021 - April 2025 · 3 yrs 7 mos
Wells Fargo Clearing Services, LLC
January 2019 - September 2021 · 2 yrs 8 mos
Wells Fargo Clearing Services, LLCBroker
December 2018 - September 2021 · 2 yrs 9 mos
AXA Advisors, LLC
April 2017 - July 2018 · 1 yr 3 mos
AXA Advisors, LLCBroker
December 2016 - July 2018 · 1 yr 7 mos
State Registrations3 states
FLGANJ
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.