James G. Botti

GARRISON PHILLIPS

Rye Brook, NY 10573

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CRD#: 2239700

Professional summary

James Garrison Botti, who also goes by James G Botti, is a registered financial advisor currently at GARRISON PHILLIPS, LLC located in Rye Brook, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 7 firms and has passed the Series 66, Series 31, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James G Botti

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) - RIA

Click below to view James Garrison Botti'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®

None

Experience

Current

July 16, 2021 - Present

GARRISON PHILLIPS, LLC

Office #1: 800 Westchester Avenue Suite 641 North, Rye Brook, NY 10573

RIA

CRD#: 136156

Rye Brook, NY

Past

December 8, 2005 - December 31, 2011

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

WHITE PLAINS, NY

Past

December 2, 2002 - August 18, 2005

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

STAMFORD, CT

Past

December 2, 2002 - August 18, 2005

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 6, 2002 - November 22, 2002

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

STAMFORD, CT

Past

June 11, 2002 - November 22, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

November 5, 1998 - May 17, 2002

DIRKS & COMPANY, INC.

CRD#: 42185

NEW YORK, NY

Past

November 21, 1995 - November 20, 1996

HAMPSHIRE SECURITIES CORPORATION

CRD#: 19725

NEW YORK, NY

Past

December 15, 1994 - October 27, 1995

LAIDLAW GLOBAL SECURITIES, INC.

CRD#: 19018

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(7/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/8/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 8/31/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/2/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 12/12/1994

Financial and Operations Principal Examination

Current Firm

GARRISON PHILLIPS, LLC

CRD#: 136156 / SEC#:

New York

Registered Investment Advisory firm - (8/15/2005 Approved)

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Contact information

Main Address

800 Westchester Avenue Suite 641 North, Rye Brook, NY 10573

Mailing Address

Phone number

(914) 219-5194

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 6,778,000

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.

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Advisor Monitoring

Firm Stability Insights

James G. Botti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Garrison Botti's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

DIRKS & COMPANY, INC.

HAMPSHIRE SECURITIES CORPORATION

LAIDLAW GLOBAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/8/2002

Series 31

Date: 8/31/2004

Series 7

Date: 7/2/2002

Series 27

Date: 12/12/1994

Current Firm

GARRISON PHILLIPS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GARRISON PHILLIPS, LLC

TRUST BUT VERIFY

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