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CHARLES LEONARD BOND
CRD#: 1290641
IA
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OSAIC WEALTH, INC.CRD#: 23131 3703 MT DIABLO BLVD
LAFAYETTE, CA 94549
LAFAYETTE, CA 94549
0
Disclosures
40
Years of Experience
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State Registrations
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California 11/2/2018
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Oregon 6/2/2023
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California 11/2/2018
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Virginia 11/2/2018
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Mississippi 11/2/2018
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Washington 6/2/2023
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Nevada 11/2/2018
SRO Registrations
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Registered with this firm since 11/2/2018
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Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2016 - 11/02/2018 | LAFAYETTE, CA | |
B | 05/13/2016 - 11/02/2018 | LAFAYETTE, CA | |
IA | 01/28/2010 - 05/13/2016 | WALNUT CREEK, CA | |
B | 09/04/2009 - 05/13/2016 | WALNUT CREEK, CA | |
B | 03/10/1992 - 09/04/2009 | LOS ANGELES, CA | |
B | 08/21/1984 - 03/27/1992 | OVERLAND PARK, KS |
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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.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.