WP
Wendy A. Potter
KESTRA ADVISORY SERVICES
Troy, MI 48098
Some features on this profile are disabled
CRD#: 1956194
WP
Professional summary
Wendy Anne Potter, who also goes by Wendy Potter Cuva, Wendy Potter Micklus, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Troy, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Troy, Michigan.
Wendy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Wendy has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendy Potter Cuva | Wendy Potter Micklus
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.
Business Name: SOCIETY FOR LIFETIME PLANNING POSITION: Registered Rep NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 32 START DATE: 10/01/2004 ADDRESS: 1111 W. Long Lake Road, Suite 300, Troy MI 48098-0006, United States DESCRIPTION: Establishing new accounts for clients and providing service for existing accounts Business Name:KESTRA ADVISORY SERVICES POSITION: Registered Rep NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 32 START DATE: 05/05/2022 ADDRESS: 5707 Southwest Parkway, Building 2/Suite 400, Austin TX 78735, United States DESCRIPTION: Establishing new investments accounts and provide service to existing accounts. Business Name:WENDY POTTER - INSURANCE POSITION: Agent/Registered Rep NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 01/01/1990 ADDRESS: 1111 W. Long Lake Road, Suite 300, Troy MI 48098-6333, United States DESCRIPTION: I discuss needs, get quotes, and then help clients set up life, disability insurance & long term care. Business Name: WENDY POTTER POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 01/03/2023 ADDRESS: 1111 W. Long Lake Road, Suite 300, Troy MI 48098-6333, United States DESCRIPTION: I work with 3D Advisors, to help offer clients competitive fixed annuities, from multiple insurance carriers.
CRS (Client Relationship Summary) - RIA
Click below to view Wendy Anne Potter's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 5, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1111 W Long Lake Rd Ste 300, Troy, MI 48098RIA
CRD#: 283330
Troy, MI
Current
May 5, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1111 W Long Lake Rd Suite 300, Troy, MI 48098BD
CRD#: 42046
Troy, MI
Past
February 14, 2018 - May 23, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
TROY, MI
Past
February 14, 2018 - May 23, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
TROY, MI
Past
January 7, 2011 - February 14, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
TROY, MI
Past
November 4, 2004 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
TROY, MI
Past
November 2, 2000 - November 4, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
June 9, 1989 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
June 9, 1989 - November 8, 2000
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/13/2022)
RR
California(5/5/2022)
RR
Colorado(5/5/2022)
RR
Florida(5/5/2022)
RR
Georgia(5/5/2022)
RR
Massachusetts(5/23/2022)
RR
Michigan(5/5/2022)
IAR
Michigan(5/5/2022)
RR
Missouri(11/13/2024)
RR
New York(2/7/2025)
RR
North Carolina(8/2/2023)
RR
Tennessee(4/11/2023)
RR
Texas(5/5/2022)
IAR
Texas(5/5/2022)
RR
Virginia(5/16/2022)
RR
Washington(10/6/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
