John CombsCRD Number: 4590195
Current Firm: Oppenheimer & Company Inc.
John Combs (CRD# 4590195) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Los Angeles, CA and has over 14 years of experience in the finance industry.
Jst Investment Consulting
Fried Asset Management, Inc.
|Oppenheimer & Company Inc.||Los Angeles, CA||May 2009 - Current||8|
|Ubs Financial Services Inc.||Los Angeles, CA||Sep 2002 - Apr 2009||6|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Nov 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management9,080MILLIONS
Total Number of Accounts19,246ACCOUNTS
Average Account Value$471,802
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV