David Joseph Sousa

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2026-04-21

MA RA
APPROVED

Since 2026-04-21

Branch Locations

Andover, MA • United States

200 Lowder Brook Dr Ste 2100 B, Westwood, MA 02090 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Osaic Wealth, Inc.	Andover	MA	05/1999	03/2026
Lpl Financial	Westwood	MA	03/2026	Present

05/1999 → 03/2026

Osaic Wealth, Inc.

Andover, MA
03/2026 → Present

Lpl Financial

Westwood, MA

Previous Registrations

2000-06-14 → 2026-05-19

Sousa Financial

Andover, MA
2009-03-27 → 2026-04-02

Osaic Wealth, Inc.

Andover, MA

Springfield, IL

Andover, MA

Andover, MA

Other Businesses

1. 03/2026 - Sousa Financial/David Joseph Sousa - Non-Variable Insurance - Inv Related - 10 Hour(s)/Month - 10 Hour(s) During Trading - Andover MA 01810 - OBA Start Date: 06/02/1994 2. 03/2026 - Sousa Financial - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 3/30/2026 3. 03/2026 - Bay Financial Associates - DBA for LPL Business (entity for LPL business)- Inv Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported Business Location (s) - OBA Start Date: 3/30/2026

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-10
S63	Uniform Securities Agent State Law Examination	1994-11-14

S65 Uniform Investment Adviser Law Examination

1999-12-10
S63 Uniform Securities Agent State Law Examination

1994-11-14

Designations

View on SEC IAPD