FO
Frederick G. Ott
GLOBAL ATLANTIC DISTRIBUTORS
Wayne, PA 19087
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CRD#: 4049569
FO
Professional summary
Frederick Gerard Ott is a registered financial professional currently at GLOBAL ATLANTIC DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 2000. Frederick has worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 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.
CRS (Client Relationship Summary) - BD
Click below to view Frederick Gerard Ott's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 14, 2022 - Present
GLOBAL ATLANTIC DISTRIBUTORS, LLC
Office #1: 550 E Swedesford Rd Suite 450, Wayne, PA 19087BD
CRD#: 8326
Wayne, PA
Past
November 24, 2010 - April 30, 2021
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
March 22, 2001 - January 30, 2009
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
Past
January 2, 2000 - March 5, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/16/2022)
RR
Alaska(8/16/2022)
RR
Arizona(8/16/2022)
RR
Arkansas(8/16/2022)
RR
California(8/16/2022)
RR
Colorado(8/16/2022)
RR
Connecticut(8/16/2022)
RR
Delaware(8/16/2022)
RR
District of Columbia(8/16/2022)
RR
Florida(8/16/2022)
RR
Georgia(8/16/2022)
RR
Hawaii(8/16/2022)
RR
Idaho(8/16/2022)
RR
Illinois(8/16/2022)
RR
Indiana(8/16/2022)
RR
Iowa(8/16/2022)
RR
Kansas(8/16/2022)
RR
Kentucky(8/16/2022)
RR
Louisiana(8/16/2022)
RR
Maine(8/16/2022)
RR
Maryland(8/16/2022)
RR
Massachusetts(8/16/2022)
RR
Michigan(8/16/2022)
RR
Minnesota(8/16/2022)
RR
Mississippi(8/16/2022)
RR
Missouri(8/16/2022)
RR
Montana(8/16/2022)
RR
Nebraska(8/16/2022)
RR
Nevada(8/16/2022)
RR
New Hampshire(8/16/2022)
RR
New Jersey(8/16/2022)
RR
New Mexico(8/16/2022)
RR
New York(8/16/2022)
RR
North Carolina(8/16/2022)
RR
North Dakota(8/16/2022)
RR
Ohio(8/17/2022)
RR
Oklahoma(8/16/2022)
RR
Oregon(8/16/2022)
RR
Pennsylvania(6/14/2022)
RR
Rhode Island(8/16/2022)
RR
South Carolina(8/16/2022)
RR
South Dakota(8/16/2022)
RR
Tennessee(8/16/2022)
RR
Texas(8/16/2022)
RR
Utah(8/16/2022)
RR
Vermont(8/16/2022)
RR
Virginia(8/16/2022)
RR
Washington(8/16/2022)
RR
West Virginia(8/16/2022)
RR
Wisconsin(8/16/2022)
RR
Wyoming(8/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GA
GLOBAL ATLANTIC DISTRIBUTORS, LLC
FORETHOUGHT DISTRIBUTORS, LLC | PLANCO FINANCIAL SERVICES, LLC | PLANCO FINANCIAL SERVICES, INC. | HARTFORD LIFE DISTRIBUTORS, LLC | GLOBAL ATLANTIC DISTRIBUTORS, LLC
CRD#: 8326 / SEC#: , 8-25027
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Mailing Address
One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103
Phone number
(877) 454-4777
Established
Delaware since 12/15/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLOBAL ATLANTIC (FIN) COMPANY | OWNER | |
| BICKLER, JASON ALEXANDER | PRESIDENT AND MANAGER | 4164884 |
| MOORCROFT, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER | 4258952 |
| NELSON, PAULA GENEVIEVE | MANAGER, HEAD OF DISTRIBUTION | 2015528 |
| PAULOUSKY, MICHAEL RYAN | TREASURER | 7339297 |
| RAMOS, SAMUEL | GENERAL COUNSEL AND SECRETARY | 6722343 |
| RIP, OLGA | FINOP AND CHIEF FINANCIAL OFFICER | 5440553 |
| RUTHERFORD, KELLY JUNE | SENIOR VICE-PRESIDENT | 7282305 |
| SIEGEL, DEAN CYRUS | VICE PRESIDENT | 3224832 |
| TODD, ERIC DAVID | MANAGER | 2175308 |
| WEISS, DAVID LEE | SENIOR VICE PRESIDENT | 2345057 |
Disclosures
| Regulatory Event | 2 |
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.
