James E. 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.
James Edward Mott, who also goes by Jim Mott, Jimmy Mott, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 53 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
December 10, 2012 - July 25, 2013
BRITE ADVISORS USA, INC.
March 31, 2008 - February 6, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 28, 2008 - February 6, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 11, 2006 - October 2, 2007
WAMU INVESTMENTS, INC.
March 31, 2006 - October 2, 2007
WAMU INVESTMENTS, INC.
May 31, 2005 - March 10, 2006
JOHN HANCOCK DISTRIBUTORS LLC
October 5, 2000 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
February 3, 1998 - October 16, 1998
GUARANTY BROKERAGE SERVICES, INC.
April 1, 1996 - January 28, 1998
CITICORP INVESTMENT SERVICES
January 24, 1995 - March 28, 1996
CHEMICAL INVESTMENT SERVICES CORP.
February 17, 1994 - January 23, 1995
KEY INVESTMENTS INC.
June 1, 1992 - February 23, 1994
CITICORP INVESTMENT SERVICES
July 23, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,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
BRITE ADVISORS USA, INC.
CRD#: 155775 / SEC#: 801-78041
Contact information
Regulatory assets under management
| Total Number of Accounts | 755 |
| AUM (Assets Under Management) | $ 468,148,435 |
Red Flags
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