John M. Mott
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 Michael Mott, who also goes by Michael Mott, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2014 - September 14, 2020
J. W. COLE ADVISORS, INC.
August 5, 2014 - September 14, 2020
J.W. COLE FINANCIAL, INC.
May 20, 2011 - August 11, 2014
INDEPENDENT FINANCIAL PARTNERS
April 29, 2011 - August 12, 2014
LPL FINANCIAL LLC
March 27, 2006 - May 11, 2011
OSAIC FS, INC.
May 15, 1996 - December 4, 2002
INDEPENDENT ADVISERS GROUP CORP
February 10, 1986 - May 11, 2011
OSAIC FS, INC.
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
