Gilbert R. Ott
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.
Gilbert Russell Ott JR, who also goes by Gil Ott, Gilbert R Ott Jr, was a registered financial professional .
Gilbert is a previously registered financial professional and started their career in finance in 1978. Gilbert had worked at 8 firms and has passed the Series 65, Series 7TO, 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
April 22, 2006 - April 20, 2021
TD AMERITRADE, INC.
March 18, 2005 - April 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 31, 2002 - April 22, 2006
TD AMERITRADE CLEARING, INC.
June 30, 2001 - November 1, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
March 15, 2000 - June 30, 2001
ICAPITAL MARKETS LLC
August 27, 1996 - March 20, 1998
RODMAN & RENSHAW INC.
December 19, 1979 - June 5, 1996
KIDDER, PEABODY & CO. INCORPORATED
March 29, 1978 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
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
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
Red Flags
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