Joseph A. Bottani
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
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph August Bottani's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 31, 2022 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 906 S. Kirkwood Rd, Kirkwood, Kirkwood, MO 63122July 7, 2017 - August 1, 2022
KALOS MANAGEMENT
July 7, 2017 - August 1, 2022
KALOS CAPITAL, INC.
April 20, 2009 - July 10, 2017
NATIONAL PLANNING CORPORATION
October 22, 2007 - July 10, 2017
NATIONAL PLANNING CORPORATION
February 5, 2004 - October 30, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/4/2023)
(7/31/2022)
(7/31/2022)
(7/31/2022)
(8/4/2023)
(7/31/2022)
(7/31/2022)
(7/31/2022)
Exams
Series 7TO
Date: 7/29/2024
General Securities Representative ExaminationFINRA
Current Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
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 | MANAGER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| 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.
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