Howard S. Potter
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.
Howard Steven Potter was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1985. Howard had worked at 4 firms and has passed the Series 63, Series 3 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
March 25, 1992 - January 9, 2004
CROSSMARK DISTRIBUTORS, INC.
July 27, 1987 - October 9, 1989
OPPENHEIMER GOVERNMENT SECURITIES, INC.
January 8, 1987 - January 8, 1991
CIBC WORLD MARKETS CORP.
June 23, 1986 - December 6, 1986
NATWEST MARKETS SECURITIES INC.
March 21, 1985 - January 8, 1991
CIBC WORLD MARKETS CORP.
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
CROSSMARK DISTRIBUTORS, INC.
CRD#: 14970 / SEC#: , 8-30994
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROSSMARK GLOBAL HOLDINGS, INC. | PARENT COMPANY | |
| COPPEDGE, JIM ANTHONY | GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER / PRINCIPAL | 3275004 |
| LINDSEY, HEATHER TREIGLE | PRESIDENT / CHIEF EXECUTIVE OFFICER / DIRECTOR | 2646043 |
| MIMS, PATRICIA | FINOP | 6954516 |
| WYNANT, SCOTT HOWARD | EXECUTIVE VICE PRESIDENT / PRINCIPAL | 1037373 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
