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JOHN MARK PLAZA
CRD#: 1413830
IA
B
OSAIC WEALTH, INC.CRD#: 23131 835 BLOSSOM HILL ROAD STE 220
SAN JOSE, CA 95123-2703
SAN JOSE, CA 95123-2703
0
Disclosures
38
Years of Experience
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State Registrations
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Arizona 6/14/2024
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Nevada 6/14/2024
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California 6/14/2024
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New York 6/14/2024
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California 6/14/2024
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North Carolina 6/14/2024
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Colorado 6/14/2024
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Oregon 6/14/2024
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Florida 6/14/2024
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Texas 6/14/2024
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Hawaii 6/14/2024
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Texas 6/14/2024
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Idaho 6/14/2024
B
Virginia 6/14/2024
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Illinois 6/14/2024
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Washington 6/14/2024
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Nebraska 6/14/2024
SRO Registrations
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Registered with this firm since 6/14/2024
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Registered with this firm since 6/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/06/2001 - 06/14/2024 | SAN JOSE, CA | |
B | 01/22/1998 - 06/14/2024 | SAN JOSE, CA | |
B | 07/20/1994 - 01/12/1998 | SCOTTSDALE, AZ | |
B | 09/12/1986 - 10/10/1994 |
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B
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.
IA
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.