James Botti, CPA
White Plains, New York, 10606
Member Since 2010
At Garrison Phillips we know that achieving your financial goals is your highest priority. Staying on track during your accumulation years can mean the difference between retiring at your goal age and just being unclear about when it is safe to retire. We understand that investment performance is critical to staying on course, especially in years when the financial markets produce negative returns. Our strength lies in our tenure understanding investment, economic and planning fundamentals. Our ultimate mission is to produce a direction, adequate risk profile, appropriate asset allocation, competent investment strategy and a review process for our private clients so that they may reach and sustain their financial goals.
My Location
Background Information
Years of Financial Experience
- 20
Education
- Pace University (BBA-Public Accounting)
Certifications and Designations
- CPA
Methods of Compensation
- Financial Planning: Asset-based fee, Hourly fee, Fixed fee
- Investment Services: Asset-based fee, Hourly fee, Fixed fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Fidelity
Types of Financial Reports
- Performance Report (Quarterly)
- Market Environment Report (Quarterly)
- Custodial Report (Monthly)
- Newsletter (Quarterly)
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them upon request
- I review my clients' investment portfolios with them quarterly and annually
Registration & Licensing
- CRD/IARD Number: Firm = 136156, Individual = 2239700
- Securities Registrations: Series 66, Series 7, Series 27, Series 31
- Insurance Licenses: Life, Annuity, Long-Term Care, Health
Company Names
- Registered Investment Advisor: Garrison Phillips, LLC
- Broker/Dealer: Purshe Kaplan Sterling
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Disclosure(s)
Planning Services
- Financial Planning, Retirement, College Funding, Hourly, Current Review
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Re-Balancing, Active Managers, Passive Managers, Risk Management, Performance Reporting, Tax Efficient Strategies, Review Current Portfolios
Investment Products
- Mutual Funds, Securities, Hedge Fund, Derivatives, Commodities, Currencies, REITs, Limited Partnerships, Technically, I don\'t sell any of these.
Visit Website - http://www.garrisonphillips.com
