Steven M. 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.
Steven Michael Potter was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 6 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2015 - October 5, 2018
SBSB FINANCIAL ADVISORS
November 5, 2012 - March 24, 2014
UBS FINANCIAL SERVICES INC.
November 5, 2012 - March 24, 2014
UBS FINANCIAL SERVICES INC.
January 7, 2005 - November 14, 2012
ALLIANCEBERNSTEIN L.P.
January 1, 2005 - November 14, 2012
SANFORD C. BERNSTEIN & CO., LLC
September 21, 1990 - December 31, 1991
WOODBURY FINANCIAL SERVICES, INC.
July 13, 1989 - October 7, 1989
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SBSB FINANCIAL ADVISORS
CRD#: 109732 / SEC#: 801-38301
Contact information
Red Flags
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