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JB

John D. Bottomley

CRITO CAPITAL LLC
New York, NY 10111
Some features on this profile are disabled
CRD#: 4450693
JB

Professional summary

John Donald Bottomley is a registered financial professional currently at CRITO CAPITAL LLC located in New York, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 4 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

top-8-questions

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) - BD

Click below to view John Donald Bottomley's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 25, 2020 - Present

CRITO CAPITAL LLC

Office #1: 45 Rockefeller Plaza Suite 2000, New York, NY 10111
RIA
BD
CRD#: 161724
New York, NY
Past

February 10, 2014 - September 25, 2018

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY
Past

February 10, 2012 - March 8, 2013

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY
Past

January 21, 2005 - May 21, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 19, 2001 - June 18, 2004

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, 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
New York
(8/25/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/18/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CRITO CAPITAL LLC
CRITO CAPITAL LLC

CRD#: 161724 / SEC#: , 8-69050

Connecticut
Registered Investment Advisory firm - SEC (3/13/2024 Termination Requested)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
8 Wright Street Suite 107, Westport, CT 06880
Mailing Address
8 Wright Street Suite 107, Westport, CT 06880
Phone number
(203) 423-5600
Established
Connecticut since 05/23/2011
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
2

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CRITO HOLDINGS LLCSOLE OWNER OF CRITO CAPITAL LLC
BEATON, DANIEL STEWARTFINOP4240769
GESKE, DAVID MICHAELMANAGING PRINCIPAL2514685
GILLMAN, THEODORE JONESMANAGING PRINCIPAL, EXECUTIVE REP.2498623
MARSHALL, ANN MARIEPRINCIPAL6298134
OLEKSIW, EUNICECHIEF COMPLIANCE OFFICER3110818

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

CRITO CAPITAL LLC

CRD#: 161724New York, NY 10111

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