GS
Gregory D. Stott
APPROACH CAPITAL LLC
Gilbert, AZ 85296
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CRD#: 4518393
GS
Professional summary
Gregory Don Stott is a registered financial advisor currently at APPROACH CAPITAL LLC located in Gilbert, Arizona.
Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Gregory has worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
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.
Name of outside business: Toy Storage LLC; Is the business investment related: Yes; Location of the business: 4320 East Brown Road, suite 112 Mesa Arizona; Description of the business: Develop, build and operate outdoor storage facilities for boat and RV storage.; Position Title: Director; Responsibilities Duties: Managing the operations of the business entity including financing, construction and operations.; Start date with business: 2021-10-10;Hours devoted to business during trading hours: 5; Hours devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 0; Project timeline for development 24 months;Will an IRS form for income earned be received: Yes; Name of outside business: Magic Closet LLC; Is the business investment related: No; Location of the business: 5314 North River Run Dr. Ste 50 Provo, Utah 84604; Description of the business: Manufacturer and distributor of outdoor family yard game. Game includes balls, racquets, net and court outline.; Position Title: member; Responsibilities Duties: concept development and tournament player; Start date with business: 2021-08-01; Hours devoted to business during trading hours: 1; Hours devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 0; Will an IRS form for income earned be received: Yes;
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Don Stott'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
February 13, 2018 - Present
APPROACH CAPITAL LLC
Office #1: 2975 East Robin Lane, Gilbert, AZ 85296RIA
CRD#: 291807
Gilbert, AZ
Past
August 3, 2016 - February 16, 2018
IRONWOOD INVESTMENT COUNSEL, LLC
RIA
CRD#: 110623
PHOENIX, AZ
Past
February 24, 2011 - July 5, 2016
ALPHA FIDUCIARY
RIA
CRD#: 144720
PHOENIX, AZ
Past
November 23, 2005 - January 4, 2011
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
RIA
CRD#: 111320
MESA, AZ
Past
May 28, 2004 - January 11, 2005
JPMORGAN FLEMING ASSET MANAGEMENT
RIA
CRD#: 107247
SCOTTSDALE, AZ
Past
May 30, 2002 - February 23, 2004
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
SCOTTSDALE, AZ
Past
April 26, 2002 - February 23, 2004
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Arizona(2/13/2018)
IAR
Texas(2/13/2018)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
AC
APPROACH CAPITAL LLC
APPROACH CAPITAL LLC | CAPITAL INVESTMENTS LLC
CRD#: 291807 / SEC#:
Arizona
Registered Investment Advisory firm - (2/13/2018 Approved)Texas
Registered Investment Advisory firm - (1/11/2018 Conditional Restricted)Utah
Registered Investment Advisory firm - (4/16/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2975 East Robin Lane, Gilbert, AZ 85296
Mailing Address
Phone number
(480) 993-9733
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 92,000,000 |
Red Flags
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