Jean R. Potvin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jean Rene Potvin was a registered financial professional .
Jean is a previously registered financial professional and started their career in finance in 1981. Jean had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2012 - August 1, 2012
B. RILEY WEALTH MANAGEMENT
December 22, 2009 - April 16, 2012
MORGAN KEEGAN & COMPANY, LLC
November 19, 2008 - December 1, 2009
THINKEQUITY LLC
March 20, 2006 - November 20, 2008
OPPENHEIMER & CO. INC.
March 19, 2002 - March 29, 2006
GLEACHER & COMPANY SECURITIES, INC.
October 18, 2000 - April 3, 2002
NATIONAL SECURITIES CORPORATION
September 20, 1996 - October 26, 2000
SHARPE CAPITAL, INC.
July 20, 1990 - October 25, 1996
AUTRANET, LLC
May 29, 1990 - July 31, 1990
JJC SECURITIES CO., INC.
February 25, 1985 - May 29, 1990
JSC SECURITIES, INC.
December 20, 1982 - April 8, 1985
UBS FINANCIAL SERVICES INC.
November 26, 1981 - December 29, 1982
JSC SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
