FIND A OC SECURITIES, INC. FINANCIAL ADVISOR NEAR ME
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CRD#: 133264
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FIRM PROFILE
Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
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Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information
Where the Statistical Data for OC SECURITIES, INC. Comes From
Understanding the Statistics for OC SECURITIES, INC. and How They Compare to Other Firms Through Our Analysis
Average Account Value
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HNWI
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Breakdown of Assets Under Management
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HNWI
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MISC
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Employees
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Firm Disclosures
Regulatory Event
2
FIRM INFORMATION
Established
California since 09/28/2004
Firm Type
Corporation
Fiscal year end
March
Related websites
Participation or Interest in Client Transactions
Self-custody
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
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Advisor's working at OC SECURITIES, INC.
Samuel Elias Kaplowitz
IAR
CRD#: 5973521
Location:
West Hartford, CT 06107
Company:
BREACHWAY INVESTMENTS, LLC
Disclosures:
Experience:
14 years
AC
Angela Beth Chinn
IAR
RR
CRD#: 7036480
Location:
Los Angeles, CA 90012
Company:
J.P. MORGAN SECURITIES LLC
Disclosures:
Experience:
7 years
Tara Nicole Seegers
IAR
RR
CRD#: 6186640
Location:
Colorado Spring, CO 80903
Company:
COMMONWEALTH FINANCIAL NETWORK
Disclosures:
Experience:
12 years
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