David W. Otto
OTTO & ASSOCIATES
Norwich, VT 05055
Some features on this profile are disabled
CRD#: 4364736
Professional summary
David William Otto, CFP® is a registered financial advisor currently at OTTO & ASSOCIATES, INC. located in Norwich, Vermont.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. David has worked at 1 firm .
Biography
A graduate of Morningside College, Mr. Otto holds a Master of Divinity from Union Theological Seminary and a Doctor of Ministry from Andover Newton Theological School. Prior to becoming a Fee-Only planner, he served as a pastor for nine years and worked for seventeen years as a pastoral counselor, including supervising psychotherapists and managing a counseling center. He lived and worked in northern Westchester for much of his professional life, but now splits his time between Katonah and Norwich, VT. He and his wife are the parents of two grown daughters, one of whom is a financial planner with Otto & Associates in the Norwich office.
Question & Answer
What are your service offerings?
David W. Otto founded Otto & A...
the national Fee-Only associat...
and was a member of the Zoning...
a nationally recognized scienc...
VT
Do you have an area of expertise or specialization?
Cash Flow/Budgets/Credit Issue...
College/Education Planning
Estate & Generational Planning...
Investment Advice with Ongoing...
Middle Income Client Needs
Retirement Plan Investment Adv...
Are you a "fiduciary"?
Yes
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) - RIA
Click below to view David William Otto'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®
Experience
Current
March 28, 2003 - Present
OTTO & ASSOCIATES, INC.
Office #1: 16 Beaver Meadow Road, Norwich, VT 05055Office #2: 289 Main St, Norwich, VT 05055RIA
CRD#: 109493
Norwich, VT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OTTO & ASSOCIATES, INC.
OTTO & ASSOCIATES, INC.
CRD#: 109493 / SEC#: 801-58024
RIA
Registered Investment Advisory firm - (11/24/2000 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New Hampshire(8/19/2021)
IAR
New York(8/19/2021)
IAR
North Carolina(8/19/2021)
IAR
Texas(8/19/2021)
IAR
Vermont(3/28/2003)
Exams
Current Firm
OTTO & ASSOCIATES, INC.
OTTO & ASSOCIATES, INC.
CRD#: 109493 / SEC#: 801-58024
RIA
Registered Investment Advisory firm - (11/24/2000 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
16 Beaver Meadow Road, Norwich, VT 05055
Mailing Address
P.o. Box 1203, Norwich, VT 05055
Phone number
(802) 649-1946
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 605 |
| AUM (Assets Under Management) | $ 249,894,379 |
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.
