Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ott is a financial advisor with Commonwealth Financial Network, licensed in Arizona, California, Nevada, and North Carolina. James has been in the financial industry since 1993, and is a registered representative with FINRA. James also provides fixed insurance sales. Commonwealth Financial Network is a Registered Investment Adviser that provides portfolio management and financial planning for individuals, corporations, and other institutions. Commonwealth Financial Network has been in business since 1979 and has over 2,950 registered representatives and over 3,300 investment adviser representatives.
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.
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.
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2
CA
09/23/2024 - Present
Commonwealth Financial Network (Yucaipa CA)
CA
06/10/1993 - 11/02/2018
SIGNATOR INVESTORS, INC. (ANAHEIM CA)
MA
06/10/1993 - 05/01/1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 08/12/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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