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Osaic Wealth, Inc.

Sousa Financial

Contact Us

301 Edgewater Place, Suite 400 Wakefield, MA 01880
  • Phone:
    978-470-8858
  • Fax:
    978-470-8868
  • E-mail address: david@sousafinancial.com
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Sousa Financial

Royal Alliance Client Application

Risk Tolerance Questionnaire (RTQ)

 

 

Contact Us

301 Edgewater Place, Suite 400 Wakefield, MA 01880
  • Phone:
    978-470-8858
  • Fax:
    978-470-8868
  • E-mail address: david@sousafinancial.com
  • LinkedIn Icon

Osaic Wealth Form CRS

David J. Sousa is a Registered Representative (s) of and offers securities products & services through Osaic Wealth, Inc. Member FINRA/SIPC, a registered broker-dealer. In this regard, this communication is strictly intended for individuals residing in the states of AZ, CA, CT, FL, GA, MA, MD, NC, NE, NH, NJ, NV, PA, RI, TN, TX, WA  No offers may be made or accepted from any resident outside the specific state(s) referenced.



David J. Sousa is also separately registered as an investment adviser representative under Sousa Financial entity, a registered investment advisor, offering advisory services in the states of CA, CT, GA, MA, MD, NH, NJ, NV, PA, RI, TN, TX. As such, these services are strictly intended for individuals residing in states where RIA is licensed.



Advisory services offered through Osaic Wealth, Inc., a Registered Investment Advisor.

IMPORTANT CONSUMER INFORMATION:



A broker-dealer, investment adviser, BD agent, or IA rep may only transact business in a state if first registered, or is excluded or exempt from state broker-dealer, investment adviser, BD agent or IA rep registration requirements, as appropriate. Follow-up, individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirement, or an applicable exemption or exclusion.



For information concerning the licensing status or disciplinary history of broker-dealer, investment adviser, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.

 

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Check the background of this financial professional on FINRA's BrokerCheck