Unclaimed Profile

Lesley Dawn Ott

JAMES INVESTMENT RESEARCH INC·XENIA, Ohio

SIE, Series 7, Series 24, Series 66, Series 99TOClean record15 years registeredJAMES INVESTMENT RESEARCH INC

1349 FAIRGROUND ROAD, XENIA, OH 45385CRD# 5828416Firm CRD# 110433

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Lesley Dawn Ott · XENIA, OH

Registration

CRD #5828416 · JAMES INVESTMENT RESEARCH INC · 15 years registered

Brand Profile

Not yet started

Career History

ULTIMUS FUND DISTRIBUTORS, LLC

Jan 2023 – present

JAMES INVESTMENT RESEARCH INC

Jan 2022 – present

JAMES CAPITAL ALLIANCE INC

Mar 2011 – Dec 2021

XENIA, OH

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 66

Series 99TO

Registration record

First registered · March 9, 2011

Years registered · 15

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

JAMES INVESTMENT RESEARCH INC

CRD 110433 · SEC 801-12359

AUM

$1.2B

Regulatory assets under management

Employees

681 client accounts

Services offered by JAMES INVESTMENT RESEARCH INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

High Net Worth Individuals

View all advisors at JAMES INVESTMENT RESEARCH INC →

Introduction

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Frequently Asked Questions

What services does Lesley Dawn Ott offer?

Lesley Dawn Ott specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in XENIA, Ohio for a consultation.

What are Lesley Dawn Ott's credentials?

Lesley Dawn Ott is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Lesley Dawn Ott located?

Lesley Dawn Ott is based in XENIA, Ohio, working with JAMES INVESTMENT RESEARCH INC. Their office serves clients in the XENIA metropolitan area and surrounding communities.

How does Lesley Dawn Ott charge for services?

Lesley Dawn Ott's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is JAMES INVESTMENT RESEARCH INC?

JAMES INVESTMENT RESEARCH INC has approximately 14 employees and manages $1.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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