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Gary W. Ott

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CRD#: 826866
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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.

Gary Wayne Ott was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1976. Gary had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1) SUMMIT X LLC, INVESTMENT RELATED. AT REGISTERED BRANCH OFFICE LOCATION. RIA, IAR. START 01/2016. 50+ HOURS/MONTH. 30+ HOURS DURING TRADING. INVESTMENT ADVICE, TRADE INPUTS, FINANCIAL PLANNING. 2) PKSF. Investment Related. 80 State Street, Albany, NY 12207. Insurance Sales, Agent. Start 11/2016. 20hrs/mo, all during trading hours. Insurance Agent.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 1, 2016 - July 31, 2025

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Chesterfield, MO
Past

February 22, 2016 - December 26, 2025

SUMMIT WEALTH STRATEGIES

RIA
CRD#: 282502
Chesterfield, MO
Past

January 11, 2016 - January 28, 2016

SUMMIT WEALTH STRATEGIES

RIA
CRD#: 282502
Chesterfield, MO
Past

January 28, 1997 - January 14, 2016

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CHESTERFIELD, MO
Past

October 5, 1987 - January 14, 2016

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CHESTERFIELD, MO
Past

November 20, 1986 - September 14, 1987

AMERICAN CAPITAL EQUITIES, INC.

BD
CRD#: 13272
Past

February 19, 1986 - September 25, 1986

NEW ENGLAND SECURITIES

BD
CRD#: 615
Past

January 19, 1982 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

December 9, 1980 - January 6, 1982

HOME LIFE INSURANCE COMPANY

BD
CRD#: 4184
Past

October 20, 1980 - August 25, 1986

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
Past

September 3, 1976 - February 20, 1981

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/28/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 8/28/1976
Registered Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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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Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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