Alexander B. Potts

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CRD#: 1765245

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.

Alexander Bennett Potts, who also goes by Alex Potts, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 1991. Alexander had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alex Potts

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.

1) BAM Management; Investment Related; St. Louis, MO; Began 11/30/2018; Management Entity; Board Member; responsible for the management, supervision, and oversight of Loring Ward and Buckingham. 2) Buckingham Strategic Partners; Investment Related; San Jose, CA; 12/19/2018; Registered Investment Advisor; President; Run the day to day operations of the business; 160 hours per month with 160 during trading hours. 3) SA Funds; Investment Related; San Jose, CA; 12/19/2018; President/CEO; Run the strategy and oversee the team who runs the funds; 20 hours per month with 18 during trading hours.

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

December 13, 2018 - May 21, 2024

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

RIA

CRD#: 143319

St. Louis, MO

Past

October 29, 2018 - December 21, 2023

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

St. Louis, MO

Past

November 19, 2010 - December 13, 2018

LWI FINANCIAL INC.

RIA

CRD#: 111861

SAN JOSE, CA

Past

February 5, 2009 - October 29, 2018

LORING WARD SECURITIES INC.

CRD#: 46337

San Jose, CA

Past

August 14, 2006 - June 28, 2007

LORING WARD SECURITIES INC.

CRD#: 46337

SAN JOSE, CA

Past

December 12, 2005 - August 16, 2006

EPLANNING SECURITIES, INC.

CRD#: 46000

SAN JOSE, CA

Past

January 1, 1999 - February 2, 2005

LORING WARD SECURITIES INC.

CRD#: 46337

SAN JOSE, CA

Past

October 6, 1993 - January 1, 1999

REINHARDT WERBA BOWEN SECURITIES, INC.

CRD#: 34202

SAN JOSE, CA

Past

April 24, 1991 - October 1, 1993

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/20/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/8/1997

General Securities Principal Examination

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 Approved)

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Contact information

Main Address

190 Carondelet Plaza Suite 600, St. Louis, MO 63105

Mailing Address

Phone number

(314) 725-0455

Established

Firm type

Fiscal year end

# of Employees

368

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/27/2025)

ADV PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	78,053
AUM (Assets Under Management)	$ 32,238,330,999

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.

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Advisor Monitoring

Firm Stability Insights

Alexander B. Potts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

LWI FINANCIAL INC.

LORING WARD SECURITIES INC.

LORING WARD SECURITIES INC.

EPLANNING SECURITIES, INC.

LORING WARD SECURITIES INC.

REINHARDT WERBA BOWEN SECURITIES, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2007

Series 63

Date: 5/20/1991

SIE

Date: 10/1/2018

Series 7

Date: 4/22/1991

Series 24

Date: 1/8/1997

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

TRUST BUT VERIFY

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