Albert J. Otto

VERITY ASSET MANAGEMENT

MARIETTA, GA

Some features on this profile are disabled

CRD#: 1122364

Professional summary

Albert John Otto, who also goes by Al John Otto, is a registered financial advisor currently at VERITY ASSET MANAGEMENT located in Marietta, Georgia.

Albert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Albert has worked at 19 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Al John Otto

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.

1) OneFiduciary Group, LLC.; Not investment-related; Marietta, GA; Sales solicitor; Officer; Managing member and book author; 03/2008; 2 hours per month; 0 during market hours; Sales solicitor for Access Retirement Solutions, and sales of a book "Stop Doing Nothing." 2) Center for Board Certified Fiduciaries; not investment-related; Stonington, CT; Fiduciary organization; Director; Founding board member; 07/2020; 20 hours per month;5 hours per month during market hours; Chairman of the nominating committee, lead weekly meetings to interview candidates, build curriculum for BDF designation of DC Tax-exempt Specialty 3) Verity Financial Group, Inc.; Not investment-related; Durham, NC; Insurance agency; Agent; Independent Contractor; 05/2018; 0 hours per month; 0 during market hours; Insurance and annuity products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert John Otto's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 5, 2018 - Present

VERITY ASSET MANAGEMENT

RIA

CRD#: 158667

MARIETTA, GA

Past

November 2, 2010 - December 31, 2017

SHEPHERD KAPLAN LLC

RIA

CRD#: 128244

MARIETTA, GA

Past

June 4, 2008 - August 9, 2010

ONEFIDUCIARY GROUP, LLC

RIA

CRD#: 147041

KENNESAW, GA

Past

April 2, 2004 - May 15, 2008

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ATLANTA, GA

Past

April 2, 2004 - May 15, 2008

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ATLANTA, GA

Past

January 30, 2003 - March 3, 2004

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

ATLANTA, GA

Past

September 16, 2002 - March 3, 2004

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 16, 2002 - March 3, 2004

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

June 10, 2002 - December 4, 2002

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 30, 2002 - June 7, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

ATLANTA, GA

Past

January 30, 2002 - June 7, 2002

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

May 19, 2000 - November 19, 2001

WESTPORT FINANCIAL SERVICES, L.L.C.

CRD#: 38449

JACKSONVILLE, FL

Past

September 23, 1998 - March 30, 2000

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

July 3, 1997 - June 12, 1998

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

June 12, 1997 - July 17, 1997

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

Past

November 17, 1994 - August 22, 1996

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

January 14, 1994 - November 17, 1994

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

January 14, 1989 - January 17, 1992

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

September 28, 1988 - December 14, 1988

STONEX SECURITIES INC.

CRD#: 18456

Past

January 28, 1988 - September 20, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 11, 1987 - February 12, 1988

OSAIC FS, INC.

CRD#: 3870

Past

May 20, 1987 - November 18, 1987

STONEX SECURITIES INC.

CRD#: 18456

Past

October 24, 1983 - February 7, 1984

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Past

October 24, 1983 - May 29, 1987

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

VERITY ASSET MANAGEMENT

ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT

CRD#: 158667 / SEC#: 801-66730

RIA

Registered Investment Advisory firm - (5/26/2006 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(6/5/2018)

IAR

Texas
(10/27/2021)

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 65

Date: 7/9/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/12/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/21/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/2006

General Securities Principal Examination

Current Firm

VERITY ASSET MANAGEMENT

ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT

CRD#: 158667 / SEC#: 801-66730

RIA

Registered Investment Advisory firm - (5/26/2006 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

280 S Mangum St Ste 550, Durham, NC 27701-3676

Mailing Address

Phone number

(919) 490-6717

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (8/29/2025)

Regulatory assets under management

Total Number of Accounts	7,199
AUM (Assets Under Management)	$ 1,041,329,944

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Albert J. Otto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert John Otto's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHEPHERD KAPLAN LLC

ONEFIDUCIARY GROUP, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WESTPORT FINANCIAL SERVICES, L.L.C.

SECURIAN FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

BMA FINANCIAL SERVICES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

FSC SECURITIES CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

STONEX SECURITIES INC.

INTEGRATED RESOURCES EQUITY CORPORATION

OSAIC FS, INC.

STONEX SECURITIES INC.

FORESTERS FINANCIAL SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

VERITY ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/2001

Series 63

Date: 10/27/1983

Series 7

Date: 3/18/1989

Series 22

Date: 12/12/1983

Series 6

Date: 10/21/1983

Series 24

Date: 3/29/2006

Current Firm

VERITY ASSET MANAGEMENT

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VERITY ASSET MANAGEMENT

TRUST BUT VERIFY

Similar Advisors