Jon P. Schotz

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CRD#: 1039748

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.

Jon Peter Schotz was a registered financial professional .

Jon is a previously registered financial professional and started their career in finance in 1982. Jon had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

SAYBROOK MANAGEMENT SERVICES LLC - MEMBER; SAYBROOK CAPITAL, LLC - MEMBER; LP ACQUISITION LLC - MEMBER; SA II LLC - MEMBER; SAYBROOK FUND MANAGERS, LLC - MEMBER; AND SAYBROOK FUND INVESTORS, LLC - MEMBER

Blog Corner

CRS (Client Relationship Summary)

EHRLICH-BOBER & CO., INC.

CRD#: 6998

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/1/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/19/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/23/1990

Municipal Securities Principal Examination

Current Firm

SAYBROOK ADVISORS, LLC

CRD#: 139018 / SEC#: 801-65848

RIA

Registered Investment Advisory firm - (9/8/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

5161 Lankershim Blvd Ste 250, Los Angeles, CA 91601

Mailing Address

Phone number

(917) 833-4780

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SAYBROOK ADVISORS 2021 UPDATE (3/31/2023)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
California	ERA - Active	6/13/2025

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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Jon P. Schotz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAYBROOK ADVISORS, LLC

SAYBROOK FUND ADVISORS, LLC

SAYBROOK ADVISORS, LLC

SAYBROOK CAPITAL CORPORATION

EHRLICH-BOBER & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/1/2006

Series 63

Date: 4/20/1982

Series 7

Date: 6/19/1982

Series 53

Date: 5/23/1990

Current Firm

SAYBROOK ADVISORS, LLC

Contact information

Documents

Part 2 Brochures

Exempt reporting advisers

Red Flags

Company Information

SAYBROOK ADVISORS, LLC

TRUST BUT VERIFY

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