William M. Pottetti
Professional summary
William Maximillian Pottetti was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, William had worked at 19 firms, which includes CADARET GRANT & CO. INC., J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., HSBC SECURITIES (USA) INC., CITICORP INVESTMENT SERVICES, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., A. G. EDWARDS & SONS INC., BNY MELLON SECURITIES CORPORATION, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, BROADPOINT DESCAP, REICH & CO. INC., PAMCO SECURITIES AND INSURANCE SERVICES, GMST WORLD MARKETS INC., LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - September 18, 2015
CADARET, GRANT & CO., INC.
August 7, 2013 - September 18, 2015
CADARET, GRANT & CO., INC.
October 1, 2012 - October 12, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 12, 2012
J.P. MORGAN SECURITIES LLC
June 17, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 4, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 2, 2007 - November 2, 2007
HSBC SECURITIES (USA) INC.
October 27, 2004 - February 25, 2006
CITICORP INVESTMENT SERVICES
December 17, 2003 - October 5, 2004
METROPOLITAN LIFE INSURANCE COMPANY
December 17, 2003 - October 5, 2004
MSI FINANCIAL SERVICES, INC.
January 6, 2000 - December 8, 2003
A. G. EDWARDS & SONS, INC.
August 20, 1998 - January 10, 2000
CHASE INVESTMENT SERVICES CORP.
September 18, 1997 - July 24, 1998
A. G. EDWARDS & SONS, INC.
February 7, 1996 - November 7, 1996
BNY MELLON SECURITIES CORPORATION
May 16, 1991 - January 10, 1995
METROPOLITAN LIFE INSURANCE COMPANY
May 16, 1991 - January 10, 1995
MSI FINANCIAL SERVICES, INC.
August 22, 1990 - January 2, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 22, 1990 - January 2, 1991
EQUITABLE ADVISORS, LLC
April 6, 1990 - June 1, 1990
BROADPOINT DESCAP
May 19, 1989 - March 19, 1990
REICH & CO., INC.
June 29, 1988 - January 10, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
August 13, 1987 - July 6, 1988
GMST WORLD MARKETS, INC.
November 11, 1985 - April 19, 1988
LEHMAN BROTHERS INC.
November 29, 1983 - November 20, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 1983 - November 25, 1983
PRUDENTIAL EQUITY GROUP, LLC
June 22, 1983 - September 8, 1983
BLINDER, ROBINSON & CO., 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
