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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Bott is a financial advisor who has been working in the financial services industry since June 20, 2000. Douglas currently works for Morgan Stanley and has previously worked for UBS Financial Services Inc. and Morgan Stanley DW Inc. Douglas has experience working with individuals, high-net-worth individuals, corporations, charitable organizations, insurance companies, investment companies, banking or thrift institutions, pension and profit-sharing plans, and state or municipal government entities. Douglas is registered to provide investment advice in several states, including California, Texas, Alabama, Arizona, Colorado, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kansas, Louisiana, Maryland, Massachusetts, Michigan, Missouri, Montana, Nevada, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Utah, Vermont, Virginia, Washington, and Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
10/14/2022 - Present
Morgan Stanley (Stockton CA)
CA
03/21/2003 - 02/03/2012
UBS FINANCIAL SERVICES INC. (STOCKTON CA)
NY
06/20/2000 - 03/25/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 07/25/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/10/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/2010
Series 3 - National Commodity Futures Examination
BC
Issued 06/27/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 06/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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