Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Botta is an active investment advisor representative with J.P. Morgan Securities LLC. Frank has over 25 years of experience in the financial services industry and has been registered with the Securities and Exchange Commission (SEC) since 1992. Frank has also worked at Morgan Stanley and Bear, Stearns & Co. Inc. Frank is a Series 7, 31, and 63 licensed professional. Frank is registered in 47 states and holds the Series 65 license. Frank offers financial planning, pension consulting and portfolio management for individuals and businesses. Frank also has the ability to offer certain bank products and services, including deposit and credit products, through JPMorgan Bank.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
MA
11/02/2017 - Present
J.p. Morgan Securities LLC (BOSTON MA)
MA
06/01/2009 - 11/03/2017
MORGAN STANLEY (BOSTON MA)
MA
02/29/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BOSTON MA)
MA
10/05/1993 - 03/12/2008
BEAR, STEARNS & CO. INC. (BOSTON MA)
NY
01/08/1993 - 10/08/1993
PRIME CHARTER LTD. (NEW YORK NY)
NY
08/26/1992 - 11/10/1992
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
IA
Issued 11/16/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 08/25/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Frank Botta is the right advisor for you? Invested Better is here to help.
