John C. Foti

JOHN C. FOTI, DBA EXPERIENT PORTFOLIO MANAGEMENT

Tillamook, OR

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CRD#: 1420133

Professional summary

John Charles Foti, who also goes by John C Foti, is a registered financial advisor currently at JOHN C. FOTI, DBA EXPERIENT PORTFOLIO MANAGEMENT located in Tillamook, Oregon.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. John has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John C Foti

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.

DBA EXPERIENT PORTFOLIO MANAGEMENT-CONDUCT PORTFOLIO MANAGEMENT, LIFE INSURANCE SALES, ANNUITY & LTC SALES. GRAND PRIX INVESTORS TRUST-TRUSTEE OF OHIO BUSINESS TRUST THAT IS AUTHORIZED TO CREATE A MUTUAL FUND

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Charles Foti's CRS (Customer Relationship Summary).

NATIONAL PLANNING CORPORATION

CRD#: 29604

LANCASTER, CA

Past

April 16, 1993 - October 7, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

October 17, 1990 - March 9, 1993

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

January 29, 1986 - June 20, 1989

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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

Oregon
(6/24/2019)

IAR

Texas
(2/26/2019)

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: 9/28/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/28/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JOHN C. FOTI, DBA EXPERIENT PORTFOLIO MANAGEMENT

CRD#: 153286 / SEC#: 801-71603

RIA

Registered Investment Advisory firm - (7/2/2019 Terminated)

Oregon

Registered Investment Advisory firm - (6/28/2019 Approved)

Texas

Registered Investment Advisory firm - (3/28/2019 Conditional Restricted)

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

Tillamook, OR

Mailing Address

P.o. Box 668, Tillamook, OR 97141

Phone number

(661) 586-8549

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 6,121,918

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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Firm Stability Insights

John C. Foti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Charles Foti's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUTOSPORT FUND ADVISORS, INC.

JOHN C. FOTI, DBA EXPERIENT PORTFOLIO MANAGEMENT

AUTOSPORT FUND ADVISORS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

SUNAMERICA SECURITIES, INC.

CARILLON INVESTMENTS, INC.

VERAVEST INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/1998

Series 63

Date: 12/3/1997

Series 7

Date: 11/19/1988

Series 6

Date: 1/28/1986

Current Firm

JOHN C. FOTI, DBA EXPERIENT PORTFOLIO MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JOHN C. FOTI, DBA EXPERIENT PORTFOLIO MANAGEMENT

TRUST BUT VERIFY

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