Carlos Sosa, financial advisor Princeton Junction NJ

Carlos Sosa

CRD Number: 2971498
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Carlos Sosa (CRD# 2971498) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Princeton Junction, NJ and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Princeton, NJ Sep 2009 - Current 12
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lawrenceville, NJ Dec 2000 - Current 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1998
S65 NASAA Investment Advisors Law Examination Jan 1998
Contact Info for Carlos A. Sosa
Phone Number: 800-637-7455
Registered State(s):
  • NJ
  • TX
By the Numbers
  • Total Assets Under Management
    1,283,838
    MILLIONS
  • Total Number of Accounts
    2,825,602
    ACCOUNTS
  • Average Account Value
    $454,359
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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