David M. Ott
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 Matthew Ott was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2014 - February 5, 2025
FORTUNE FINANCIAL SERVICES, INC.
August 26, 2013 - April 11, 2014
ALLSTATE FINANCIAL SERVICES, LLC
June 2, 2006 - August 28, 2013
IC ADVISORY SERVICES, INC.
November 24, 2003 - October 2, 2006
THE INVESTMENT CENTER, INC.
November 24, 2003 - August 28, 2013
THE INVESTMENT CENTER, INC.
August 13, 2002 - December 4, 2003
LPL FINANCIAL LLC
August 9, 2002 - December 4, 2003
LPL FINANCIAL LLC
October 22, 1999 - August 28, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 15, 1999 - August 28, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 6, 1998 - November 17, 1998
EMPOWER FINANCIAL SERVICES, INC.
October 10, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 10, 1990 - July 7, 1997
PRUCO SECURITIES, LLC.
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
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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