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Christopher Brian Sosa

Mariner

White Plains, NY

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Current Employers
Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-07-09
NY RA APPROVED 2021-07-09
  • CT RA
    APPROVED
    Since 2021-07-09
  • NY RA
    APPROVED
    Since 2021-07-09

Branch Locations

50 Main Street Ste. #1001, White Plains, NY 10606 • 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
OrganizationCityStateFromTo
Ef Legacy Securities, Llc Henrico VA 08/2016 10/2018
Edelman Financial Services, Llc Fairfax VA 08/2016 11/2018
Financial Engines Advisors L.L.C Sunnyvale CA 11/2018 07/2021
Mariner Wealth Advisors New York NY 07/2021 Present
  • 08/2016 → 10/2018
    Ef Legacy Securities, Llc
    Henrico, VA
  • 08/2016 → 11/2018
    Edelman Financial Services, Llc
    Fairfax, VA
  • 11/2018 → 07/2021
    Financial Engines Advisors L.L.C
    Sunnyvale, CA
  • 07/2021 → Present
    Mariner Wealth Advisors
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-08-13
S63 Uniform Securities Agent State Law Examination 2013-12-28
  • S65 Uniform Investment Adviser Law Examination
    2016-08-13
  • S63 Uniform Securities Agent State Law Examination
    2013-12-28
Designations

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
BENJAMIN F. EDWARDS & COMPANY, INC.
FOREPONT CAPITAL LLC
COMMONWEALTH FINANCIAL NETWORK
KINGSWOOD WEALTH ADVISORS, LLC
SUMMIT FINANCIAL, LLC
OSAIC WEALTH, INC.

Other Investors

Michael Nelson
Daniel Sirota
Erik Mark Vietz
MARY JANE VOLFSON
Dominick Curra
PATRICK RYAN HENRY
ADAM HANDALY
CHRISTOPHER THOMAS FOSTER

Other Offices

J.P. MORGAN SECURITIES LLC · WHITE PLAINS, NY
CETERA INVESTMENT ADVISERS LLC · WHITE PLAINS, NY
J.P. MORGAN SECURITIES LLC · West Harrison, NY
BENJAMIN F. EDWARDS & COMPANY, INC. · WHITE PLAINS, NY
J.P. MORGAN SECURITIES LLC · West Harrison, NY
FOREPONT CAPITAL LLC · WHITE PLAINS, NY
COMMONWEALTH FINANCIAL NETWORK · West Harrison, NY
KINGSWOOD WEALTH ADVISORS, LLC · White Plains, NY

More in White Plains, NY

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