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JAIME OCON
JAMES OCON
CRD#: 2989678
IA
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WELLS FARGO ADVISORSCRD#: 19616 21600 OXNARD ST, 18TH FL, TOWER I
WARNER CENTER TOWERS
WOODLAND HILLS, CA 91367
WARNER CENTER TOWERS
WOODLAND HILLS, CA 91367
0
Disclosures
27
Years of Experience
View By:
State Registrations
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Arizona 9/26/2024
B
Nevada 3/23/2021
B
California 7/1/2003
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New York 7/1/2003
IA
California 7/1/2003
B
North Carolina 7/15/2024
B
Connecticut 4/6/2020
B
Oregon 12/13/2023
B
Florida 3/21/2022
B
South Carolina 7/18/2017
B
Georgia 10/3/2019
B
Texas 7/2/2004
B
Idaho 7/24/2024
B
Washington 7/18/2018
B
Minnesota 1/14/2020
SRO Registrations
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IA
Registered with this firm since 7/1/2003
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Registered with this firm since 7/1/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2002 - 07/01/2003 | ENCINO, CA | |
B | 09/27/2002 - 07/01/2003 | NEW YORK, NY | |
IA | 09/04/2002 - 10/02/2002 | SAN FRANCISCO, CA | |
B | 09/30/1999 - 10/02/2002 | PURCHASE, NY | |
B | 09/18/1998 - 11/10/1999 | NEW YORK, NY | |
B | 03/05/1998 - 10/05/1998 | ROCHESTER, NY |
ROCHESTER, NY
03/05/1998 - 10/05/1998
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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.
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.