DB
DB

Douglas Bott

25 Years of Experience
Stockton, CA
Broker

Douglas Bott is a registered investment advisor at Morgan Stanley, based in Stockton, CA, with 25 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B

Fee Structure

Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
Loading...

Location

3421 Brookside Road, Suite A, Stockton, CA, 95219

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Other Business Activities

Douglas is a pledgor for a loan since October 2019. This investment-related activity requires minimal time during or after business hours.

Employment History
Current Registrations
Morgan Stanley
January 2012 - Present · 14 yrs 6 mos
Morgan StanleyBroker
January 2012 - Present · 14 yrs 6 mos
Previous Registrations
UBS Financial Services INC.
March 2003 - February 2012 · 8 yrs 11 mos
UBS Financial Services INC.Broker
March 2003 - February 2012 · 8 yrs 11 mos
Morgan Stanley
October 2000 - March 2003 · 2 yrs 5 mos
Morgan Stanley Dw INC.Broker
June 2000 - March 2003 · 2 yrs 9 mos
State Registrations27 states
AZCACOFLGAHIIAIDILINKSKYLAMTNCNMNVNYOHOKORSCSDTXUTWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Douglas Bott - Financial Advisor | TrueAdvisor