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MAI NGOC LE
CRD#: 2923849
IA
B
OSAIC WEALTH, INC.CRD#: 23131 4950 HAMILTON AVE
#107
SAN JOSE, CA 95130
#107
SAN JOSE, CA 95130
0
Disclosures
27
Years of Experience
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State Registrations
B
California 9/1/2023
IA
California 9/1/2023
SRO Registrations
B
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IA
Registered with this firm since 9/1/2023
B
Registered with this firm since 9/1/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/10/2018 - 09/01/2023 | SAN JOSE, CA | |
B | 10/31/2005 - 09/01/2023 | SAN JOSE, CA | |
B | 07/15/2002 - 10/31/2005 | PHOENIX, AZ | |
B | 04/12/2002 - 08/01/2002 | DULUTH, GA | |
B | 11/06/1997 - 04/12/2002 | DULUTH, GA |
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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.