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FO

Frederick P. Ott

Some features on this profile are disabled
CRD#: 354225
FO

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.

Frederick Peter Ott was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1982. Frederick had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 1 exams.

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

February 1, 2019 - June 30, 2025

WILSON-DAVIS & CO., INC.

BD
CRD#: 3777
CENTENNIAL, CO
Past

May 6, 2002 - December 31, 2018

SPENCER EDWARDS, INC.

BD
CRD#: 22067
CENTENNIAL, CO
Past

April 8, 2002 - May 6, 2002

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

July 22, 1998 - March 26, 2002

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

March 1, 1991 - July 24, 1998

NTB FINANCIAL CORPORATION

BD
CRD#: 7425
HIGHLANDS RANCH, CO
Past

November 6, 1990 - March 4, 1991

PRIVATE INVESTORS CARTEL, LTD.

BD
CRD#: 17690
Past

March 17, 1987 - November 7, 1990

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

June 9, 1982 - March 9, 1987

WEDBUSH SECURITIES INC.

BD
CRD#: 877

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

State Security Law Exam
RR
Series 63
Date: 1/14/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/12/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/20/1976
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 3/20/1968
Registered Representative Examination

Current Firm

W&
WILSON-DAVIS & CO., INC.
WILSON-DAVIS & CO., INC.

CRD#: 3777 / SEC#: , 8-14299

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

Main Address
236 South Main Street, Salt Lake City, UT 84101-2104
Mailing Address
P.o. Box 11587, Salt Lake City, UT 84147-0587
Phone number
(801) 532-1313
Established
Utah since 11/12/1968
Firm type
Corporation
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#
ATLASCLEAR HOLDINGS, INC.OWNER
EGGERTZ, LINCOLN TYLERCHIEF COMPLIANCE OFFICER | CHIEF AML COMPLIANCE OFFICER7336125
LOSSER, JANA MARIEPRINCIPAL OPERATIONS OFFICER4562682
SIME, JEFFREY NORMANPRINCIPAL FINANCIAL OFFICER1554798
SIME, JEFFREY NORMANCEO1554798

Disclosures

Regulatory Event57
Arbitration1

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

WILSON-DAVIS & CO., INC.

CRD#: 3777

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