John P. Bott
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Paul Bott II was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2018 - September 23, 2020
TRI-STAR ADVISORS, INC.
November 14, 2014 - September 11, 2019
CALTON & ASSOCIATES, INC.
March 3, 2001 - November 30, 2018
PARALLAX INVESTMENTS, LLC
May 10, 1994 - March 9, 2015
TRI-STAR FINANCIAL
April 15, 1994 - May 9, 1994
TRI-STAR FINANCIAL
May 22, 1992 - April 13, 1994
CIBC WORLD MARKETS CORP.
August 2, 1989 - May 26, 1992
MORGAN STANLEY DW INC.
January 19, 1987 - August 8, 1989
THOMSON MCKINNON SECURITIES INC.
October 23, 1985 - January 30, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 1983 - October 11, 1985
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1982 - September 27, 1983
LEHMAN BROTHERS INC.
December 22, 1980 - April 22, 1983
LPL FINANCIAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRI-STAR ADVISORS, INC.
CRD#: 149760 / SEC#: 801-70769
Contact information
Regulatory assets under management
| Total Number of Accounts | 134 |
| AUM (Assets Under Management) | $ 56,702,564 |
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.
