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BRIAN ROBERT BOTTO
CRD#: 4806646
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 6815 Poplar Ave
STE 100
Memphis, TN 38138
STE 100
Memphis, TN 38138
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 6815 Poplar Avenue
Suite 100
Memphis, TN 38138
Suite 100
Memphis, TN 38138
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Alabama 5/17/2022
B
New Hampshire 6/2/2022
B
Arkansas 5/4/2022
B
North Carolina 4/20/2022
B
Colorado 8/18/2022
B
Oklahoma 1/26/2024
B
Florida 5/4/2022
B
Pennsylvania 5/17/2022
B
Georgia 11/15/2022
B
South Carolina 7/6/2022
B
Idaho 2/6/2023
B
Tennessee 2/1/2023
B
Iowa 10/10/2022
IA
Tennessee 7/11/2023
B
Kentucky 4/6/2022
B
Texas 4/18/2022
B
Louisiana 5/4/2022
IA
Texas 8/23/2023
B
Massachusetts 1/5/2023
B
Virginia 5/17/2022
B
Michigan 6/2/2022
B
Washington 3/3/2025
B
Mississippi 4/6/2022
B
Wyoming 9/18/2023
B
Montana 5/4/2022
SRO Registrations
B
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IA
Registered with this firm since 7/11/2023
B
Registered with this firm since 3/18/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/29/2004 - 03/04/2022 | MEMPHIS, TN | |
IA | 07/02/2014 - 10/21/2015 | MEMPHIS, TN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.