Alfred Sosa
Alfred Sosa is a registered investment advisor at Esi Financial Advisors, based in Cary, NC, with 29 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 12,116 clients with $2.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
ESI Financial Advisors offers investment management through various programs. Fees vary depending on the program chosen and can include platform fees, strategist fees, and service fees.
ESI Illuminations programs charge a platform fee between 0.26% and 0.45% annually, plus strategist fees (0.02%-1.00%) and EFA's service fee (0-2.00%).
American Funds and Schwab Retirement Advisor Services have tiered fees, up to 1.00% annually on the first $1M, decreasing to 0.35% on amounts over $10M.
AssetMark fees are negotiated with the advisor, not to exceed 1.5% annually.
SEI fees are also negotiated, not to exceed 1.75% annually, plus a 0.05% administrative fee.
Location
2500 Regency Pkwy, Ste 119, Cary, NC, 27518
Get directionsHistory
Regulatory History (1)
Criminal
February 1987Other Business ActivitiesSells Insurance
Alfred is a brokerage director involved with life insurance, fixed annuities, disability insurance, and equity index annuities since 2020. He dedicates minimal time to this activity.
Employment History
Current Registrations
Esi Financial Advisors
Equity Services, INC.Broker
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Mutual of Omaha Investor Services, INC.
Mutual of Omaha Investor Services, INC.Broker
Transamerica Financial Advisors, INCBroker
Sagepoint Financial, INC.Broker
Metlife Securities INC.Broker
Signator Investors, INC.
Signator Investors, INC.Broker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.