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Patrick A. Potopowicz

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CRD#: 1217511
PP

Professional summary

Patrick Anthony Potopowicz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Patrick is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Patrick had worked at 10 firms, which includes BRILL SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, J.P. TURNER & COMPANY L.L.C., OPPENHEIMER & CO. INC., REICH & CO. INC., EMANUEL AND COMPANY, USA-CONTINENTAL INVESTORS GROUPINC., FIRST INTERREGIONAL EQUITY CORP., BAIRD PATRICK & CO. INC., DONALD SHELDON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

February 22, 2006 - December 16, 2008

BRILL SECURITIES, INC.

BD
CRD#: 18565
NEW YORK, NY
Past

January 16, 2003 - December 31, 2005

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

August 30, 2001 - December 17, 2002

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

August 8, 1994 - August 8, 1997

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

June 17, 1992 - August 8, 1994

REICH & CO., INC.

BD
CRD#: 19611
Past

March 27, 1989 - June 5, 1990

EMANUEL AND COMPANY

BD
CRD#: 7309
NEW YORK, NY
Past

October 10, 1986 - March 2, 1987

USA-CONTINENTAL INVESTORS GROUP,INC.

BD
CRD#: 15513
Past

September 4, 1985 - September 16, 1986

FIRST INTERREGIONAL EQUITY CORP.

BD
CRD#: 7486
Past

March 19, 1985 - April 3, 1985

BAIRD, PATRICK & CO., INC.

BD
CRD#: 1149
Past

January 19, 1984 - September 24, 1984

DONALD SHELDON & CO., INC.

BD
CRD#: 6966

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
RR
Series 63
Date: 4/1/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 1/18/1984
Municipal Securities Representative Examination

Current Firm

BS
BRILL SECURITIES, INC.
BRILL SECURITIES INC. | NONE | BRILL SECURITIES, INC.

CRD#: 18565 / SEC#: 801-61275, 8-36654

BD
Terminated by SEC on 12/29/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/25/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BROWN, ROBERT BRILLCEO32896
BROWN, NICHOLAS BRILLCFO ., FINOP2168807
KURTIN, JONATHAN BRILLPRESIDENT276833
NUTKIS, DAVID BENJAMINVP., TRES., SEC., ,CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER730453
BOSE, AMIT KUMARCHIEF COMPLIANCE OFFICER INVESTMENT ADVISOR2476890

Disclosures

Regulatory Event6
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BRILL SECURITIES, INC.

CRD#: 18565

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