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Robert H. Potter

Some features on this profile are disabled
CRD#: 1198202
RP

Professional summary

Robert Hawkes Potter was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Robert had worked at 8 firms, which includes CAMBRIA CAPITAL LLC, WELLS FARGO CLEARING SERVICES LLC, EAGLE GATE SECURITIES INC., FINANCIAL WEST GROUP, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Potter | Robert Potter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 4, 2011 - August 20, 2015

CAMBRIA CAPITAL, LLC

RIA
CRD#: 133760
SALT LAKE CITY, UT
Past

August 3, 2011 - August 20, 2015

CAMBRIA CAPITAL, LLC

BD
CRD#: 133760
SALT LAKE CITY, UT
Past

December 2, 2005 - August 4, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SALT LAKE CITY, UT
Past

December 2, 2005 - August 4, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SALT LAKE CITY, UT
Past

May 2, 2003 - December 31, 2005

EAGLE GATE SECURITIES, INC.

RIA
CRD#: 46959
SALT LAKE CITY, UT
Past

September 8, 1999 - December 31, 2005

EAGLE GATE SECURITIES, INC.

BD
CRD#: 46959
SALT LAKE CITY, UT
Past

March 1, 1999 - October 11, 1999

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

September 1, 1992 - December 18, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 15, 1988 - September 15, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 11, 1987 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

October 19, 1983 - May 14, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/21/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/1/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/20/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/27/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/1999
General Securities Principal Examination

Current Firm

CC
CAMBRIA CAPITAL, LLC
BANQ | READY ROUND | MY IPO | CAMBRIA CAPITAL, LLC | CAMBRIA CAPITAL LLC

CRD#: 133760 / SEC#: 801-112108, 8-66768

RIA
Registered Investment Advisory firm - SEC (12/31/2019 Terminated)
Arizona
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
California
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
Florida
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
Georgia
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
Illinois
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
Missouri
Registered Investment Advisory firm - SEC (12/6/2017 Terminated)
Nevada
Registered Investment Advisory firm - SEC (12/31/2024 Termination Requested)
North Carolina
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
Oregon
Registered Investment Advisory firm - SEC (12/1/2017 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
Texas
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
Utah
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/31/2024 Terminated)
BD
Terminated by SEC on 01/31/2025
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Contact information

Main Address
488 E. Winchester Street Suite 200, Salt Lake City, UT 84107
Mailing Address
Phone number
(801) 320-9606
Established
California since 07/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
5

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CAMBRIA ASSET MANAGEMENT, INCMANAGING MEMBER
SOLOWIN HOLDINGSMEMBER
MCBEAN, WILLIAM GORDONCEO1901190
PHILBRICK, SHANE ROBERTCHIEF COMPLIANCE OFFICER, FINOP, CFO, COO4584693
VANDERHOOF, JOEL MICHAELPRESIDENT4152196

Regulatory assets under management

Total Number of Accounts134
AUM (Assets Under Management)$ 10,552,928

Disclosures

Regulatory Event3

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.

Company Information

CAMBRIA CAPITAL, LLC

CRD#: 133760

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