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RICHARD DAVID FONTANA
RICK FONTANA
CRD#: 4049497
IA
B
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 792 W. Arrow Hwy, Suite E
Upland, CA 91786
Upland, CA 91786
LPL FINANCIAL LLCCRD#: 6413 792 W. ARROW HWY, SUITE E
UPLAND, CA 91786-7715
UPLAND, CA 91786-7715
0
Disclosures
25
Years of Experience
View By:
State Registrations
B
Arizona 4/3/2008
B
Nevada 7/17/2023
B
California 4/3/2008
B
North Carolina 1/8/2020
IA
California 12/26/2018
B
Ohio 1/20/2016
B
Colorado 5/10/2023
B
Texas 1/20/2016
B
Florida 4/4/2017
IA
Texas 7/31/2024
B
Idaho 3/7/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 12/26/2018
B
Registered with this firm since 4/3/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/17/2012 - 12/31/2018 | UPLAND, CA | |
IA | 04/04/2008 - 06/12/2013 | TEMECULA, CA | |
IA | 04/02/2007 - 03/26/2008 | ONTARIO, CA | |
B | 04/02/2007 - 03/26/2008 | ONTARIO, CA | |
IA | 01/27/2000 - 04/02/2007 | ONTARIO, CA | |
B | 12/16/1999 - 04/02/2007 | ONTARIO, CA |
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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.