Warren N. Potonak
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.
Warren Nicholas Potonak, who also goes by Warren N Potonak, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1983. Warren had worked at 14 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2019 - August 29, 2019
TRIBAL CAPITAL MARKETS, LLC
March 17, 2015 - January 22, 2019
ACADEMY SECURITIES, INC.
July 16, 2014 - March 17, 2015
IFS SECURITIES
February 11, 2014 - June 18, 2014
IFS SECURITIES
February 9, 2011 - September 27, 2012
CASTLEOAK SECURITIES, LP
August 12, 2009 - March 4, 2011
BLAYLOCK VAN, LLC
June 28, 2000 - August 11, 2009
SBK-BROOKS INVESTMENT CORP.
January 8, 1999 - September 30, 1999
NATCITY INVESTMENTS, INC.
March 17, 1997 - August 6, 1998
WELLS FARGO CLEARING SERVICES, LLC
March 22, 1995 - January 27, 1997
ALEX. BROWN & SONS INCORPORATED
September 15, 1994 - February 16, 1995
YAMAICHI INTERNATIONAL (AMERICA) INC.
July 7, 1993 - September 13, 1994
SCHRODER & CO. INC.
August 9, 1989 - June 4, 1993
TUCKER ANTHONY INCORPORATED
September 28, 1987 - July 5, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 19, 1983 - August 31, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TRIBAL CAPITAL MARKETS, LLC
CRD#: 38901 / SEC#: , 8-48460
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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