James Francis Ott

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1991 → 11/2018
  Signator Investors, Inc.
  Nashville, TN
• 11/2018 → 09/2024
  Osaic Wealth, Inc.
  Anaheim, CA
• 09/2024 → Present
  Commonwealth Financial Network
  San Diego, CA
• 09/2024 → 07/2025
  Elevare Advisors
  Yucaipa, CA
• 07/2025 → Present
  Warmen & James Private Wealth
  Yucaipa, CA

Other Businesses

1. Fixed insurance sales; as of 9/23/2024; 10% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-Owner, Warmen & James Private Wealth, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 05/06/2025; 100% of time spent during business hours; Conducted at branch; Investment related. 3. Fixed health insurance sales; as of 07/01/2025; 1% of time spent during business hours; Conducted at branch location; Investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-08-12
• S63 Uniform Securities Agent State Law Examination
  1993-07-07

Other Names

• Jim Ott
• James F Ott