Cesar A. Cortes

Employer firm

Sumus Financial LLC CRD 340066

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2013 → 11/2020
  Western International Securities, Inc.
  Pasadena, CA
• 10/2020 → 11/2024
  Prudential Financial Panning Services
  Shelton, CT
• 11/2017 → Present
  Cortes Benefits Consulting, Llc
  Shelton, CT
• 11/2024 → 05/2025
  Lpl Enterprise, Llc
  Shelton, CT
• 02/2026 → Present
  Sumus Financial Llc
  Shelton, CT

Previous Registrations

• 2024-11-14 → 2025-05-28
  Lpl Enterprise, Llc
  Shelton, CT
  Shelton, CT
• 2020-10-14 → 2024-11-14
  Pruco Securities, Llc.
  Shelton, CT
  Shelton, CT
• 2013-02-05 → 2020-11-13
  Western International Securities, Inc.
  Newport Beach, CA
  Shelton, CT
• 2009-01-15 → 2013-02-05
  Msi Financial Services, Inc.
  Shelton, CT

Other Businesses

1) Cortes Benefits Consulting - Non-Variable Insurance - I market and sell health insurance to individuals including medicare, as well as to small businesses and their employees. I earn a direct commission from the carriers i am registered to sell in multiple states.- INV Related - At Shelton, CT- Start date 11/01/2017- 40 HRS MTH - 30 HRS During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-11-17
• S63 Uniform Securities Agent State Law Examination
  2008-10-24

Other Names

• Cesar Cortes
• Cesar A. Cortes-Diaz
• Cesar Cortes-Diaz