Jordan M. Ozata
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jordan Michael Ozata, who also goes by Jordan M. Ozata, was a registered financial professional .
Jordan is a previously registered financial professional and started their career in finance in 2008. Jordan had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2012 - November 13, 2012
SETHI TAX AND WEALTH ADVISORS
January 24, 2012 - August 15, 2012
SETHI FINANCIAL INVESTMENTS, INC.
August 25, 2010 - November 18, 2010
CHASE INVESTMENT SERVICES CORP.
August 10, 2010 - November 18, 2010
CHASE INVESTMENT SERVICES CORP.
April 14, 2008 - May 12, 2009
EQUITABLE ADVISORS, LLC
March 19, 2008 - May 12, 2009
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SETHI TAX AND WEALTH ADVISORS
CRD#: 157982 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
