JB
Jeffrey R. Botwinick
INVESCO DISTRIBUTORS
Delaware, OH
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CRD#: 2195797
JB
Professional summary
Jeffrey Richard Botwinick is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Delaware, Ohio.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1992. Jeffrey has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Richard Botwinick's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 25, 2019 - Present
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
Delaware, OH
Past
May 23, 2005 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
August 14, 2003 - May 5, 2005
AIM PRIVATE ASSET MANAGEMENT
RIA
CRD#: 109264
HOUSTON, TX
Past
July 9, 2003 - May 5, 2005
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
December 31, 2001 - July 9, 2003
INVESCO
RIA
CRD#: 106529
DENVER, CO
Past
July 6, 2000 - July 8, 2003
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 289
HOUSTON, TX
Past
January 20, 2000 - July 14, 2000
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
April 26, 1994 - September 10, 1999
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
April 24, 1992 - May 12, 1992
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 8, 1992 - February 19, 1992
SOUTH RICHMOND SECURITIES, INC.
BD
CRD#: 14913
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/24/2023)
RR
Alaska(1/24/2023)
RR
Arizona(1/24/2023)
RR
Arkansas(1/24/2023)
RR
California(1/24/2023)
RR
Colorado(1/24/2023)
RR
Connecticut(1/24/2023)
RR
Delaware(1/24/2023)
RR
District of Columbia(1/24/2023)
RR
Florida(1/24/2023)
RR
Georgia(1/24/2023)
RR
Hawaii(1/24/2023)
RR
Idaho(1/24/2023)
RR
Illinois(1/24/2023)
RR
Indiana(1/24/2023)
RR
Iowa(1/24/2023)
RR
Kansas(1/24/2023)
RR
Kentucky(1/24/2023)
RR
Louisiana(1/24/2023)
RR
Maine(1/24/2023)
RR
Maryland(1/24/2023)
RR
Massachusetts(1/24/2023)
RR
Michigan(1/24/2023)
RR
Minnesota(1/24/2023)
RR
Mississippi(1/24/2023)
RR
Missouri(1/24/2023)
RR
Montana(1/24/2023)
RR
Nebraska(1/24/2023)
RR
Nevada(1/24/2023)
RR
New Hampshire(1/24/2023)
RR
New Jersey(1/24/2023)
RR
New Mexico(1/24/2023)
RR
New York(5/25/2019)
RR
North Carolina(1/24/2023)
RR
North Dakota(1/24/2023)
RR
Ohio(1/25/2023)
RR
Oklahoma(1/24/2023)
RR
Oregon(1/24/2023)
RR
Pennsylvania(5/25/2019)
RR
Puerto Rico(1/24/2023)
RR
Rhode Island(1/24/2023)
RR
South Carolina(1/24/2023)
RR
South Dakota(1/24/2023)
RR
Tennessee(1/24/2023)
RR
Texas(1/24/2023)
RR
Utah(1/24/2023)
RR
Vermont(1/24/2023)
RR
Virgin Islands(1/24/2023)
RR
Virginia(1/24/2023)
RR
Washington(1/24/2023)
RR
West Virginia(1/24/2023)
RR
Wisconsin(1/24/2023)
RR
Wyoming(1/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
