David J. Otto
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 Joseph Otto, who also goes by David Otto, Dave Joseph Otto, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, 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
March 30, 2022 - June 21, 2022
VANGUARD ADVISERS, INC.
February 25, 2022 - June 21, 2022
VANGUARD MARKETING CORPORATION
January 4, 2019 - April 10, 2019
CITIZENS SECURITIES, INC.
January 4, 2019 - April 10, 2019
CITIZENS SECURITIES, INC.
October 2, 2018 - December 26, 2018
USAA INVESTMENT SERVICES COMPANY
September 28, 2018 - December 26, 2018
USAA FINANCIAL ADVISORS, INC.
May 25, 2018 - August 1, 2018
CHARLES SCHWAB & CO., INC.
May 24, 2018 - August 1, 2018
CHARLES SCHWAB & CO., INC.
January 1, 2008 - June 1, 2016
FIDELITY BROKERAGE SERVICES LLC
January 9, 2006 - June 6, 2016
STRATEGIC ADVISERS LLC
February 7, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
December 11, 2000 - October 13, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
February 8, 1995 - November 8, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
August 23, 1993 - February 8, 1995
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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
Series 7TO
Date: 2/25/2022
General Securities Representative ExaminationCurrent Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
