Gregory D. Stott

APPROACH CAPITAL LLC

Gilbert, AZ 85296

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CRD#: 4518393

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Current

February 13, 2018 - Present

APPROACH CAPITAL LLC

Office #1: 2975 East Robin Lane, Gilbert, AZ 85296

RIA

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

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/3/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/25/2002

General Securities Representative Examination

Current Firm

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 100,000,000

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.

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Gregory D. Stott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Don Stott's CRS (Customer Relationship Summary).

Certified licenses

Experience

APPROACH CAPITAL LLC

IRONWOOD INVESTMENT COUNSEL, LLC

ALPHA FIDUCIARY

STOKER OSTLER, A PART OF BMO FINANCIAL GROUP

JPMORGAN FLEMING ASSET MANAGEMENT

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2002

Series 7

Date: 4/25/2002

Current Firm

APPROACH CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

APPROACH CAPITAL LLC

TRUST BUT VERIFY

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