John B. Wootten

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CRD#: 1024405

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.

John Benjamin Wootten, who also goes by Ben Wootten, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1982. John had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ben Wootten

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 9, 2018 - February 4, 2020

BIGELOW INVESTMENT ADVISORS, LLC

RIA

CRD#: 143733

Ellsworth, ME

Past

February 10, 2015 - March 10, 2015

WIND RIVER CAPITAL MANAGEMENT, INC.

RIA

CRD#: 174945

ELLSWORTH, ME

Past

July 6, 2004 - February 5, 2018

WIND RIVER

RIA

CRD#: 131323

ELLSWORTH, ME

Past

January 4, 1999 - June 22, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

November 3, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

October 2, 1990 - November 10, 1997

DIRIGO INVESTMENTS, INC.

CRD#: 27264

ELLSWORTH, ME

Past

January 25, 1982 - August 23, 1990

WINSLOW INVESTMENT COMPANY

CRD#: 10158

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BIGELOW INVESTMENT ADVISORS, LLC

CRD#: 143733 / SEC#: 801-67875

RIA

Registered Investment Advisory firm - (5/3/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/18/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/3/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/9/1986

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/19/1986

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/1986

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 10/21/1982

Financial and Operations Principal Examination

Current Firm

BIGELOW INVESTMENT ADVISORS, LLC

CRD#: 143733 / SEC#: 801-67875

RIA

Registered Investment Advisory firm - (5/3/2007 Approved)

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Contact information

Main Address

2 Monument Square Suite 701, Portland, ME 04101

Mailing Address

Phone number

(207) 772-2900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BIGELOW INVESTMENT ADVISORS PART 2A (1/31/2025)

Regulatory assets under management

Total Number of Accounts	869
AUM (Assets Under Management)	$ 476,220,823

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.

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Advisor Monitoring

Firm Stability Insights

John B. Wootten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WIND RIVER CAPITAL MANAGEMENT, INC.

WIND RIVER

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

DIRIGO INVESTMENTS, INC.

WINSLOW INVESTMENT COMPANY

Primary Firm SEC Registration

BIGELOW INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/18/2004

Series 63

Date: 5/3/1982

Series 7

Date: 1/16/1982

Series 53

Date: 12/9/1986

Series 4

Date: 11/19/1986

Series 24

Date: 10/22/1986

Series 27

Date: 10/21/1982

Current Firm

BIGELOW INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BIGELOW INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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