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William A. Otto

Some features on this profile are disabled
CRD#: 354348
WO

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.

William Albert Otto, who also goes by Bill Otto, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1973. William had worked at 6 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Otto

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

July 25, 2001 - November 19, 2002

WELLINGTON INVESTMENT SERVICES CORP.

BD
CRD#: 23018
BROOKFIELD, WI
Past

April 16, 1991 - August 20, 1999

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

September 4, 1990 - April 8, 1991

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 23, 1986 - September 4, 1990

BLUNT ELLIS & LOEWI INCORPORATED

BD
CRD#: 7580
Past

September 12, 1978 - October 2, 1986

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

July 2, 1973 - August 1, 1978

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640

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: 1/29/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 6/23/1973
Registered Representative Examination

Current Firm

WI
WELLINGTON INVESTMENT SERVICES CORP.
WELLINGTON INVESTMENT SERVICES CORP. | WMC SECURITIES CORP | WELLINGTON INVESTMENT SVCS CORP.

CRD#: 23018 / SEC#: , 8-40078

BD
Terminated by SEC on 02/18/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Wisconsin since 07/26/1988
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELLINGTON MANAGEMENT CORPORATIONSHAREHOLDER
LEAS, ARNOLD KARLEOFFICER736604
LEAS, GREGORY SCOTTOFFICER1317157
NAKAMA, GARRET TADASHIFINANCIAL OFFICER2194494

Disclosures

Regulatory Event1

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

WELLINGTON INVESTMENT SERVICES CORP.

CRD#: 23018

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