John P. Ott
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.
John P Ott was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1998. John had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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
March 15, 2022 - November 7, 2022
LEGACY PLANNING & ASSOCIATES, INC.
January 30, 2014 - December 31, 2021
LEGACY PLANNING & ASSOCIATES, INC.
November 8, 2010 - October 23, 2013
REGAL INVESTMENT ADVISORS LLC
November 5, 2010 - July 5, 2018
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
June 18, 2007 - November 12, 2010
NEW ENGLAND SECURITIES
September 12, 1999 - April 9, 2003
NEW ENGLAND SECURITIES
July 27, 1998 - November 12, 2010
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGACY PLANNING & ASSOCIATES, INC.
CRD#: 156537 / SEC#: 801-123248
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 132 |
| AUM (Assets Under Management) | $ 112,310,462 |
Red Flags
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