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AP

Alexander B. Potts

Some features on this profile are disabled
CRD#: 1765245
AP

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"?
No

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.
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

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

BD
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.

BD
CRD#: 46337
San Jose, CA
Past

August 14, 2006 - June 28, 2007

LORING WARD SECURITIES INC.

BD
CRD#: 46337
SAN JOSE, CA
Past

December 12, 2005 - August 16, 2006

EPLANNING SECURITIES, INC.

BD
CRD#: 46000
SAN JOSE, CA
Past

January 1, 1999 - February 2, 2005

LORING WARD SECURITIES INC.

BD
CRD#: 46337
SAN JOSE, CA
Past

October 6, 1993 - January 1, 1999

REINHARDT WERBA BOWEN SECURITIES, INC.

BD
CRD#: 34202
SAN JOSE, CA
Past

April 24, 1991 - October 1, 1993

OSAIC WEALTH, INC.

BD
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".
FP
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
BAM ADVISOR SERVICES, LLC | WEATHERSTONE CAPITAL MANAGEMENT | 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.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/16/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/20/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/8/1997
General Securities Principal Examination

Current Firm

FP
FOCUS PARTNERS ADVISOR SOLUTIONS, LLC
BAM ADVISOR SERVICES, LLC | WEATHERSTONE CAPITAL MANAGEMENT | 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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WEATHERSTONE CAPITAL MANAGEMENT (DBA FOR FOCUS PARTNERS ADVISOR SOLUTIONS) PART 2A (2/1/2026)
FOCUS PARTNERS ADVISOR SOLUTIONS PART 2A (2/1/2026)
ADV PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts78,053
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.

Company Information

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

CRD#: 143319

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