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1349 Fairground Road, Xenia, OH 45385 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2022-01-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| James Capital Alliance, Inc. | Xenia | OH | 04/2006 | 12/2021 |
| Alps Distributors, Inc | Denver | CO | 10/2011 | 12/2022 |
| James Investment Research, Inc | Xenia | OH | 01/2012 | Present |
| Ultimus Fund Solutions, Llc | Cincinnati | OH | 01/2023 | Present |
MS. OTT IS A BOARD MEMBER OF DAYTON CHILDREN'S HOSPITAL FOUNDATION LOCATED AT ONE CHILDREN'S PLAZA, DAYTON, OH 45404. MS. OTT BEGAN THIS NON-INVESTMENT RELATED ACTIVITY IN JANUARY, 2023 AND SPENDS ONE HOUR PER MONTH DURING TRADING HOURS. MS. OTT IS A MEMBER OF THE INVESTMENT COMMITTEE, WHICH MEETS QUARTERLY WITH A HIRED CONSULTANT TO REVIEW THE FOUNDATION'S ASSETS AND PERFORMANCE OF THE MONEY MANAGERS USED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-09-07 |
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