Jay 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.
Jay Sheldon Potter JR, who also goes by Jay Potter, was a registered financial advisor .
Jay is a previously registered financial advisor and started their career in finance in 1989. Jay had worked at 6 firms and has passed the Series 63, Series 7, Series 22, Series 3, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2011 - December 14, 2012
ALLIED BEACON PARTNERS, INC.
July 27, 2009 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
December 9, 2005 - December 31, 2009
NEXCORE FINANCIAL SERVICES, INCORPORATED
October 2, 1996 - July 29, 2009
NEXCORE CAPITAL, INC.
August 9, 1990 - March 25, 1996
PACIFIC CAPITAL PARTNERS, INC.
October 24, 1989 - July 9, 1990
REMINGTON SECURITIES, 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
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
