John Plaza
John Plaza is a registered investment advisor at Osaic Wealth, INC., based in San Jose, CA, with 39 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
835 Blossom Hill Road Ste 220, San Jose, CA, 95123-2703
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
John is an agent with John Plaza Insurance Brokerage, focusing on term life insurance marketing and sales activities, dedicating a few hours per week. He is also an Investment Advisor Representative with Securities America Advisors, spending about a quarter of his time on investment advisory services.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Royal Alliance Associates, INC.Broker
Soares Financial Group, INC.Broker
State Registrations16 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.