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JO

James E. Otto

Some features on this profile are disabled
CRD#: 1566081
JO

Professional summary

James Edward Otto was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, James had worked at 6 firms, which includes FINANCIAL WORLD CORPORATION, OPPENHEIMER & CO. INC., FREEDOM INVESTMENTS INC., GEORGE K. BAUM & COMPANY, UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 6, 2002 - May 14, 2002

FINANCIAL WORLD CORPORATION

BD
CRD#: 41377
OVERLAND PARK, KS
Past

November 17, 2000 - November 30, 2000

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

November 17, 2000 - December 19, 2001

FREEDOM INVESTMENTS, INC.

BD
CRD#: 37674
EDISON, NJ
Past

August 13, 1996 - October 26, 2000

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
KANSAS CITY, MO
Past

January 28, 1995 - August 12, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

November 9, 1989 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

October 29, 1986 - October 7, 1989

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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: 5/30/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/3/1986
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/18/2001
General Securities Principal Examination

Current Firm

FW
FINANCIAL WORLD CORPORATION
FINANCIAL WORLD | FINANCIAL WORLD CORPORATION

CRD#: 41377 / SEC#: , 8-49397

BD
Cancelled by SEC on 07/15/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
Kansas since 05/18/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BERVERT, BRADLEY ALLANCHIEF EXECTIVE OFFICER AND CHIEF COMPLIANCE OFFICER2563245
HANSON, SHERRY CONSTANCECOMMON SHAREHOLDER
THE HEDGE FUND, LLCCOMMON SHAREHOLDER
BAHM, DARIN KEITHCOMMON SHAREHOLDER2850903
BELL, WILLIAM KENNETH JRREGISTERED REPRESENTATIVE
BLUNT, MICHAEL EUGENEBRANCH MANAGER2778238
ORENSTEIN, HEYWOOD SETHPRESIDENT2755281

Disclosures

Regulatory Event1

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.

Company Information

FINANCIAL WORLD CORPORATION

CRD#: 41377

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