Jared Michael Sosa

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2020-10-19
TX	RA	APPROVED	2020-10-19

CO RA
APPROVED

Since 2020-10-19
TX RA
APPROVED

Since 2020-10-19

Branch Locations

Castle Pines, CO • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
World Financial Group, Inc.	Greenwood Village	CO	06/2004	Present
Executive Wealth Management, Llc	Centennial	CO	04/2008	Present
Transamerica Financial Advisors, Inc	Greenwood Village	CO	01/2012	09/2020
Depew Street, Llc	Castle Pines	CO	09/2018	Present
Premier Coverage, Llc	Castle Pines	CO	03/2019	Present
Lpl Financial, Llc	Castle Pines	CO	10/2020	Present

06/2004 → Present

World Financial Group, Inc.

Greenwood Village, CO
04/2008 → Present

Executive Wealth Management, Llc

Centennial, CO
01/2012 → 09/2020

Transamerica Financial Advisors, Inc

Greenwood Village, CO
09/2018 → Present

Depew Street, Llc

Castle Pines, CO
03/2019 → Present

Premier Coverage, Llc

Castle Pines, CO
10/2020 → Present

Lpl Financial, Llc

Castle Pines, CO

Previous Registrations

2012-01-06 → 2020-10-20

Transamerica Financial Advisors, Llc

Centennial, CO

Greenwood Village, CO
2006-10-16 → 2012-01-06

Investment Advisors International, Inc.

Greenwood Village, CO

Greenwood Village, CO

Other Businesses

1) 2019 - Property and Casualty - Premier Coverage, LLC - Investment Related - 1% - Castle Pines, CO 80108 2) 2008 - Tax Entity - Executive Wealth Management, LLC - Investment Related - 6527 Tapadero Court Castle Pines, CO 80108 3) 2018 - Real Estate Rental - Depew Street, LLC - Investment Related - 6527 Tapadero Court, Castle Pines, CO 80108 4) 2020 - DBA for LPL Business (entity for LPL business) - The Integrity Wealth Group, LLC - Castle Pines, CO 80108 5) 1/28/2021 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Started 01/19/2021 - 10 Hours Per Month/1 Hour During Securities Trading. 6) 6/7/2021 - No Business Name - Investment Related - Aurora, CO 80014 - Real Estate Rental - Started 06/07/2021 - 1 Hour Per Month During Securities Trading. 7) 6/7/2021 - No Business Name - Investment Related - Greeley, CO 80634 - Real Estate Rental - Started 05/21/2021 - 1 Hour Per Month During Securities Trading. 8) 6/7/2021 - No Business Name - Investment Related - Aurora, CO 80016 - Real Estate Rental - Started 05/19/2021 - 1 Hour Per Month During Securities Trading. 9) 7/19/2021 - No Business Name - Investment Related - Castle Rock, CO 80104 - Real Estate Rental - Start Date: 12/31/2021 - 1 Hours Per Month/1 Hours During Securities Trading. 10) 7/19/2021 - No Business Name - Investment Related - Westminster, CO 80234 - Real Estate Rental - Start Date: 7/19/2021 - 1 Hours Per Month/1 Hours During Securities Trading. 11) 7/19/2021 - No Business Name - Investment Related - Parker, CO 80138 - Real Estate Rental - Start Date: 9/30/2021 - 1 Hours Per Month/1 Hours During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-12-17
S63	Uniform Securities Agent State Law Examination	2005-04-22

S65 Uniform Investment Adviser Law Examination

2005-12-17
S63 Uniform Securities Agent State Law Examination

2005-04-22

View on SEC IAPD