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JEFFREY BRIAN BERNSTEIN
JEFFREY B BERNSTEIN
CRD#: 2837317
IA
B
OSAIC WEALTH, INC.CRD#: 23131 1424 4TH STREET
SUITE 222
SANTA MONICA, CA 90401
SUITE 222
SANTA MONICA, CA 90401
0
Disclosures
26
Years of Experience
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State Registrations
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California 11/3/2023
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Massachusetts 11/3/2023
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California 11/3/2023
B
New York 11/3/2023
B
Florida 11/3/2023
B
Washington 11/3/2023
B
Illinois 11/3/2023
SRO Registrations
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Registered with this firm since 11/3/2023
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Registered with this firm since 11/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/12/2007 - 11/03/2023 | SANTA MONICA, CA | |
B | 10/23/2001 - 11/03/2023 | SANTA MONICA, CA | |
IA | 12/05/2002 - 12/31/2005 | SANTA MONICA, CA | |
B | 03/15/1999 - 10/08/2001 | EL SEGUNDO, CA | |
B | 02/25/1997 - 04/11/1997 | BOSTON, MA | |
B | 02/25/1997 - 04/11/1997 | BOSTON, MA |
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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.