Lesley D. Ott

JAMES INVESTMENT RESEARCH

Xenia, OH 45385

Some features on this profile are disabled

CRD#: 5828416

Professional summary

Lesley Dawn Ott, who also goes by Lesley Dawn Howell, is a registered financial advisor currently at JAMES INVESTMENT RESEARCH INC located in Xenia, Ohio and ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio.

Lesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Lesley has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lesley Dawn Howell

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.

MS. OTT IS A BOARD MEMBER OF DAYTON CHILDREN'S HOSPITAL FOUNDATION LOCATED AT ONE CHILDREN'S PLAZA, DAYTON, OH 45404. MS. OTT BEGAN THIS NON-INVESTMENT RELATED ACTIVITY IN JANUARY, 2023 AND SPENDS ONE HOUR PER MONTH DURING TRADING HOURS. MS. OTT IS A MEMBER OF THE INVESTMENT COMMITTEE, WHICH MEETS QUARTERLY WITH A HIRED CONSULTANT TO REVIEW THE FOUNDATION'S ASSETS AND PERFORMANCE OF THE MONEY MANAGERS USED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lesley Dawn Ott's CRS (Customer Relationship Summary).

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

January 7, 2022 - Present

JAMES INVESTMENT RESEARCH INC

Office #1: 1349 Fairground Road, Xenia, OH 45385

RIA

CRD#: 110433

Xenia, OH

Current

January 27, 2023 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

Office #1: 225 Pictoria Drive Suite 450, Cincinnati, OH 45246

CRD#: 104177

Cincinnati, OH

Past

October 24, 2011 - December 2, 2022

ALPS DISTRIBUTORS, INC.

CRD#: 16853

XENIA, OH

Past

March 9, 2011 - December 31, 2021

JAMES CAPITAL ALLIANCE INC

RIA

CRD#: 107078

XENIA, OH

Past

March 9, 2011 - October 24, 2011

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

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".

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

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.

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

IAR

Ohio
(1/7/2022)

Ohio
(1/27/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/7/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/12/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1349 Fairground Road, Xenia, OH 45385

Mailing Address

P. O. Box 8, Alpha, OH 45301

Phone number

(937) 426-7640

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JAMES INVESTMENT RESEARCH, INC. ADV PART 2 DECEMBER 27, 2023 (12/19/2024)

Regulatory assets under management

Total Number of Accounts	681
AUM (Assets Under Management)	$ 1,165,234,618

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.

Similar Advisors

Douglas Kinsey

ARTIFEX FINANCIAL GROUP, LLC

IAR

Oakwood, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lesley D. Ott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lesley Dawn Ott's CRS (Customer Relationship Summary).

Certified licenses

Experience

ULTIMUS FUND DISTRIBUTORS, LLC

ALPS DISTRIBUTORS, INC.

JAMES CAPITAL ALLIANCE INC

UNIFIED FINANCIAL SECURITIES, LLC

Primary Firm SEC Registration

JAMES INVESTMENT RESEARCH INC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/7/2010

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/8/2011

Series 24

Date: 9/12/2011

FINRA

Current Firm

JAMES INVESTMENT RESEARCH INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JAMES INVESTMENT RESEARCH INC

TRUST BUT VERIFY

Similar Advisors