JB
Joseph A. Bottani
MADISON AVENUE SECURITIES
Kirkwood, MO 63122
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CRD#: 4746193
JB
Professional summary
Joseph August Bottani, ChFC®, CLU®, who also goes by Joe A Bottani IV, Joseph August Bottani Iv, is a registered financial professional currently at MADISON AVENUE SECURITIES, LLC located in Kirkwood, Missouri.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2004. Joseph has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joe A Bottani Iv | Joseph August Bottani Iv
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.
ARCH BROKERAGE, INC POSITION: President NATURE: Insurance Brokerage - focused on health insurance and employee benefits. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 09/01/2003 ADDRESS: 8084 Watson Road, Suite 100, SAINT LOUIS MO 63119, United States DESCRIPTION: Manage benefit plans and staff related to these insurance products. KALOS MANAGEMENT POSITION: IAR NATURE: Investment Managment - RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 09/13/2017 ADDRESS: 11525 Park Woods Circle, Alpharetta GA 30005, United States DESCRIPTION: Managing client investments. ARCH FINANCIAL ADVISORS POSITION: Owner NATURE: This is a insurance and investment commission corporation that was set-up for tax and administrative purposes. Securities and insurance commissions paid to me personally are paid to this entity from which I take a salary and pay business expenses. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2015 ADDRESS: 8084 Watson Road, Suite 100, SAINT LOUIS MO 63119, United States DESCRIPTION: This corporation is not marketed to the public but performs administrative services for the business generated by me personally.
CRS (Client Relationship Summary) - BD
Click below to view Joseph August Bottani'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
July 31, 2022 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 906 S. Kirkwood Rd, Kirkwood, Kirkwood, MO 63122RIA
BD
CRD#: 23224
Kirkwood, MO
Past
July 7, 2017 - August 1, 2022
KALOS MANAGEMENT
RIA
CRD#: 133025
St. Louis, MO
Past
July 7, 2017 - August 1, 2022
KALOS CAPITAL, INC.
BD
CRD#: 44337
Kirkwood, MO
Past
April 20, 2009 - July 10, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
CRYSTAL CITY, MO
Past
October 22, 2007 - July 10, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
CRYSTAL CITY, MO
Past
February 5, 2004 - October 30, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
FESTUS, MO
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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(8/4/2023)
RR
Arkansas(7/31/2022)
RR
Florida(7/31/2022)
RR
Illinois(7/31/2022)
RR
Mississippi(8/4/2023)
RR
Missouri(7/31/2022)
RR
Nebraska(7/31/2022)
RR
Texas(7/31/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/29/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Kirkwood, MO 63122TRUST BUT VERIFY
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