David N. Bottoms
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.
David Newton Bottoms JR was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1987. David had worked at 5 firms and has passed the Series 65, Series 63, Series 7 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
September 14, 2004 - March 30, 2009
OAKTREE ASSET MANAGEMENT, LLC
January 13, 2000 - March 30, 2005
OAKTREE ASSET MANAGEMENT, INC.
August 30, 1997 - August 30, 2010
FINANCIAL ASSETS CORPORATION
May 19, 1988 - August 19, 1997
LAIDLAW GLOBAL SECURITIES, INC.
July 21, 1987 - June 20, 1988
KUHNS BROTHERS & LAIDLAW, INC.
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
No current employment
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.
