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Kevin J. Ott

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CRD#: 3250121
KO

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.

Kevin John Ott was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1999. Kevin had worked at 3 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 1, 2018 - March 11, 2024

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

BD
CRD#: 104369
Chicago, IL
Past

November 4, 2010 - May 8, 2018

LIGHTSPEED TRADING, LLC

BD
CRD#: 35519
CHICAGO, IL
Past

September 14, 1999 - November 2, 2010

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/5/2013
General Securities Principal Examination

Current Firm

LF
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
LIGHTSPEED | LIME BROKERAGE LLC | LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369 / SEC#: , 8-52843

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Mailing Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Phone number
(888) 577-3123
Established
Delaware since 08/03/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LIGHTSPEED HOLDINGS LLCDIRECT OWNER
CHUN, YUEN NAFINOP2219603
GIBB, THOMAS ANTHONYPRESIDENT/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER4750905
NAIB, FARID AHMEDCEO6285310
PETZOLD, KEITH WILLIAMCHIEF COMPLIANCE OFFICER2944070
WEDBUSH FINANCIAL SERVICES, LLCDIRECT OWNER

Disclosures

Regulatory Event42

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.

Company Information

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369

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