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SNEH PAL JOLLY
CRD#: 6023941
IA
B
OSAIC WEALTH, INC.CRD#: 23131 5801 COTTLE RD
SAN JOSE, CA 95123
SAN JOSE, CA 95123
0
Disclosures
10
Years of Experience
View By:
State Registrations
B
California 6/14/2024
B
Minnesota 1/8/2025
IA
California 6/14/2024
B
Nevada 6/14/2024
B
Florida 1/8/2025
B
Pennsylvania 1/2/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/14/2024
B
Registered with this firm since 6/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/06/2023 - 06/14/2024 | SAN JOSE, CA | |
B | 04/05/2023 - 06/14/2024 | SAN JOSE, CA | |
IA | 01/16/2021 - 04/18/2023 | PLEASANTON, CA | |
B | 11/18/2014 - 04/18/2023 | PLEASANTON, 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.