Gregory A. 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.
Gregory Allan Ott, who also goes by Greg Ott, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1974. Gregory had worked at 15 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - January 30, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - January 30, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
April 12, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
February 18, 2003 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
April 1, 1999 - February 19, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 7, 1998 - April 6, 1999
KESTRA INVESTMENT SERVICES, LLC
December 6, 1996 - August 7, 1998
MML INVESTORS SERVICES, LLC
November 5, 1990 - December 2, 1996
METROPOLITAN LIFE INSURANCE COMPANY
November 5, 1990 - December 2, 1996
MSI FINANCIAL SERVICES, INC.
November 15, 1988 - September 28, 1990
HIMCO DISTRIBUTION SERVICES COMPANY
November 3, 1987 - September 29, 1988
AMERICAN CAPITAL EQUITIES, INC.
December 9, 1985 - October 23, 1987
MONY SECURITIES CORPORATION
April 3, 1981 - November 25, 1985
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
October 20, 1980 - December 11, 1985
EQUITABLE ADVISORS, LLC
September 2, 1980 - April 20, 1981
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 2, 1980 - April 20, 1981
SIGNATOR INVESTORS, INC.
April 17, 1974 - April 3, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 4/13/1974
Registered Representative ExaminationCurrent Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
