Miguel Sosa has been an investment adviser representative at Rose Capital Advisors since September 2026, and is not listed among the firm’s executive officers or direct owners.
Rose Capital Advisors, LLC is a Miami Beach, FL firm with $608M under management, 375 clients and 9 advisers across 7 offices, as of its August 2026 filing.
Miguel Sosa’s longest registration was 11 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2004–2016). Before joining Rose Capital Advisors in 2026, Miguel Sosa was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Rose Capital Advisors, LLCCurrent– present · under a yearCoral Gables, FL · Adviser representative · Firm CRD 173054
- Premia Global Advisors, LLCAlso current– present · 10 yearsCoral Gables, FL · Adviser representative · Firm CRD 282426
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 11 yearsMiami, FL · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Miguel Sosa is registered as an investment adviser representative in Florida, since February 2016.
- FloridaSince 15 February 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 30 November 2005 |
| Series 3 | National Commodity Futures Examination | 10 October 1985 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 July 1983 |
| Series 7 | General Securities Representative Examination | 21 August 1982 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 1062639
- Firm
- Rose Capital Advisors · CRD 173054
- Office
- 2600 South Douglas Rd., Suite 1103, Coral Gables, FL 33134
- Registration
- Investment adviser registration
- In the industry since
- August 1982
- Disciplinary history
- Not yet shown here · SEC record
Where does Miguel Sosa work?
Miguel Sosa is an investment adviser representative registered through Rose Capital Advisors, LLC since September 2026, and is not listed among the firm’s executive officers or direct owners.
Is Miguel Sosa a financial advisor?
Yes. Miguel Sosa has a current investment-adviser registration in Florida, through Rose Capital Advisors since September 2026.
How many years of experience does Miguel Sosa have?
Miguel Sosa has 44 years in the financial industry, since August 1982, across 3 adviser firms.
What exams has Miguel Sosa passed?
Miguel Sosa has passed 4 licensing exams: the Series 7, Series 63, Series 3 and Series 65. The earliest, the Series 7, was passed in August 1982. FINRA credited Miguel Sosa with the SIE, which began in October 2018.
Where did Miguel Sosa work before Rose Capital Advisors?
Before Rose Capital Advisors, Miguel Sosa was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, August 2004 to January 2016.
Where is Miguel Sosa based?
Miguel Sosa’s registered office is in Coral Gables, FL.
Is Miguel Sosa registered with FINRA?
No. Miguel Sosa has no current broker registration.
How can I verify Miguel Sosa’s record?
Search CRD 1062639 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Miguel Sosa’s full registration record.
