Otto K. Elser
Professional summary
Otto Karl Elser JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Otto is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Otto had worked at 5 firms, which includes HIMCO DISTRIBUTION SERVICES COMPANY, VOYA FINANCIAL PARTNERS LLC, AETNA LIFE INSURANCE AND ANNUITY COMPANY, INVEST FINANCIAL CORPORATION, METROPOLITAN LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1994 - September 21, 1999
HIMCO DISTRIBUTION SERVICES COMPANY
October 15, 1993 - November 15, 1995
VOYA FINANCIAL PARTNERS, LLC
July 29, 1987 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
October 22, 1986 - November 20, 1986
INVEST FINANCIAL CORPORATION
December 13, 1983 - November 13, 1986
METROPOLITAN LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HIMCO DISTRIBUTION SERVICES COMPANY
CRD#: 6604 / SEC#: , 8-17719
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FINANCIAL SERVICES, LLC | PARENT OF APPLICANT | |
| BENKEN, DIANA KUMP | CONTROLLER, FINOP, CHIEF FINANCIAL OFFICER | 4579476 |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 2239639 |
| FAY, ERIC MORGAN | DIRECTOR | 1558547 |
| FIXER, MICHAEL JOSEPH | ASSISTANT VICE PRESIDENT AND ASSISTANT TREASURER | 5601318 |
| JOHNSON, BRION SCOTT | DIRECTOR | 1936218 |
| POZNAR, MATTHEW JAMES | CEO, DIRECTOR | 6307254 |
| PURTILL, SABRA R | TREASURER | 2449290 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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