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RIA / WealthAdvisor42 years in industry

ALBERT JOHN OTTO

Advisor at VERITY ASSET MANAGEMENT

MARIETTA, GA | DURHAM, NC

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Search this name across graphsid dfx:ria:357dab5d-c463-a6f7-a806-0cef165875ea

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 30, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VERITY ASSET MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 27, 1983earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 27, 1983
First registration: Jan 30, 2002
Dual registered: no
Other names: AL JOHN OTTO
IAPD individual key: 1122364

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VERITY ASSET MANAGEMENT	Independent wealth	Jun 5, 2018	n/a	yes	DURHAM, NC\|MARIETTA, GA	Current employment
SHEPHERD KAPLAN LLC	Asset manager	Nov 2, 2010	Dec 31, 2017	no	BOSTON, MA\|MARIETTA, GA	Previous registration
ONEFIDUCIARY GROUP, LLC	n/a	Jun 4, 2008	Aug 9, 2010	no	KENNESAW, GA	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 2, 2004	May 15, 2008	no	ATLANTA, GA\|ATLANTA, GA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 30, 2003	Mar 3, 2004	no	ATLANTA, GA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 30, 2002	Jun 7, 2002	no	ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SHEPHERD KAPLAN LLC	VERITY ASSET MANAGEMENT	Dec 31, 2017	Jun 5, 2018	156	Firm change	RIA to RIA
ONEFIDUCIARY GROUP, LLC	SHEPHERD KAPLAN LLC	Aug 9, 2010	Nov 2, 2010	85	Firm change	Other
SECURIAN FINANCIAL SERVICES, INC.	ONEFIDUCIARY GROUP, LLC	May 15, 2008	Jun 4, 2008	20	Firm change	Other
MSI FINANCIAL SERVICES, INC.	SECURIAN FINANCIAL SERVICES, INC.	Mar 3, 2004	Apr 2, 2004	30	Firm change	Other
WELLS FARGO ADVISORS	MSI FINANCIAL SERVICES, INC.	Jun 7, 2002	Jan 30, 2003	237	Firm change	Other

Relationships

Registered with (6)

→ VERITY ASSET MANAGEMENTRegistered adviserregistration: current employment
Jun 5, 2018 to presentfactForm ADV
→ SHEPHERD KAPLAN LLCRegistered adviserregistration: previous registration
Nov 2, 2010 to Dec 31, 2017factForm ADV
→ ONEFIDUCIARY GROUP, LLCRegistered adviserregistration: previous registration
Jun 4, 2008 to Aug 9, 2010factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 2, 2004 to May 15, 2008factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 30, 2003 to Mar 3, 2004factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 30, 2002 to Jun 7, 2002factForm ADV

Dated events

No dated event names this entity yet.