Individual Firm
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GUSTAVE ROBERT OZAG
CRD#: 1142854
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WESTEND CAPITAL MANAGEMENT, LLC.CRD#: 120545 San Rafael, CA
View By:
10/28/1999
Regulatory
Final
State Registrations
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California 11/28/2017
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Registered with this firm since 11/28/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/30/2016 - 12/31/2016 | San Rafael, CA | |
B | 06/28/1994 - 06/12/1995 | BOSTON, MA | |
B | 06/28/1994 - 06/12/1995 | BOSTON, MA | |
B | 06/10/1983 - 03/31/1990 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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