Jon C. 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.
Jon Cary Otto, who also goes by Jon C Otto, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1995. Jon had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2011 - February 1, 2013
J.P. TURNER & COMPANY, L.L.C.
March 9, 2010 - June 1, 2011
BROKERSXPRESS LLC
December 3, 2008 - March 22, 2010
ARQUE CAPITAL, LTD.
September 16, 2004 - December 4, 2008
FOX & COMPANY INVESTMENTS INC.
March 31, 2003 - September 30, 2004
FFEC WEALTH PARTNERS LLC
May 22, 2001 - April 9, 2003
AMERIPRISE ADVISOR SERVICES, INC.
February 18, 2000 - March 1, 2001
RBC CAPITAL MARKETS, LLC
September 2, 1997 - February 25, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 15, 1996 - September 9, 1997
UBS FINANCIAL SERVICES INC.
April 5, 1995 - February 7, 1996
CITIGROUP GLOBAL MARKETS 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
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
