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RP

Raymond D. Potter

KNG SECURITIES USA
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 1995647
RP

Professional summary

Raymond Denis Potter is a registered financial professional currently at KNG SECURITIES USA INC located in New York, New York.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 1990. Raymond has worked at 11 firms and has passed the Series 63, Series 62, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Raymond Denis 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®
None

Experience

Current

May 7, 2026 - Present

KNG SECURITIES USA INC

Office #1: Partial 21st Floor 650 Fifth Avenue, New York, NY 10019
BD
CRD#: 335822
NEW YORK, NY
Past

August 1, 2025 - May 15, 2026

ENCLAVE CAPITAL LLC

BD
CRD#: 22732
New York, NY
Past

June 1, 2021 - July 17, 2025

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

June 10, 2020 - June 8, 2021

A.G.P. / ALLIANCE GLOBAL PARTNERS

BD
CRD#: 8361
New York, NY
Past

February 6, 2020 - April 15, 2020

MAREX CAPITAL MARKETS INC.

BD
CRD#: 161014
NEW YORK, NY
Past

December 3, 2015 - April 9, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

January 6, 2009 - December 11, 2015

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

December 13, 2005 - January 5, 2009

ICBC STANDARD SECURITIES INC.

BD
CRD#: 35560
NEW YORK, NY
Past

April 19, 2004 - October 21, 2005

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

July 1, 2003 - May 4, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 13, 1990 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(5/7/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 5/15/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/13/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KNG SECURITIES USA INC
KNG SECURITIES USA INC

CRD#: 335822 / SEC#: , 8-71358

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Partial 21st Floor 650 Fifth Avenue, New York, NY 10019
Mailing Address
Partial 21st Floor 650 Fifth Avenue, New York, NY 10019
Phone number
(212) 897-1691
Established
Delaware since 03/26/2025
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KNG GLOBAL MARKETS LTDDIRECT OWNER
BAUCOM, ROBERT BLAKECHIEF EXECUTIVE OFFICER4305610
GRAY, BENJAMIN NMNCHIEF COMPLIANCE OFFICER1946982
PUGLISI, JOSEPH JOHNFINOP7779592

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

KNG SECURITIES USA INC

CRD#: 335822New York, NY 10019

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