AP
Arthur W. Potter
PROXY WEALTH ADVISORS LLC
Martinez, CA
Some features on this profile are disabled
CRD#: 2116906
AP
Professional summary
Arthur Wayne Potter, who also goes by A. Wayne Potter, Wayne Potter, is a registered financial advisor currently at PROXY WEALTH ADVISORS LLC located in Martinez, California and CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Martinez, California.
Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Arthur has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
A. Wayne Potter | Wayne Potter
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 - Insurance Renewals - not investment related - Martinez, CA - insurance - owner - 10/1990 - 1 hour per month - 0 during trading hours - occasionally service existing polices. 2 - Proxy Freedom LLC - investment related - Walnut Creek, CA - Senior Case Design Specialist - 09/2022 - 173 hours per month. - 100 hours per month during trading hours - assist advisors with financial planning needs of clients and backup administrative staff for operational needs.
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Wayne 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
July 30, 2024 - Present
PROXY WEALTH ADVISORS LLC
RIA
CRD#: 298080
Martinez, CA
Current
June 23, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 877 Ygnacio Valley Rd., Walnut Creek, CA 94596RIA
CRD#: 134139
Martinez, CA
Past
May 27, 2016 - June 30, 2017
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Pleasant Hill, CA
Past
May 27, 2016 - June 30, 2017
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
PLEASANT HILL, CA
Past
May 19, 2014 - May 18, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WALNUT CREEK, CA
Past
May 16, 2014 - May 18, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WALNUT CREEK, CA
Past
March 26, 2004 - June 13, 2014
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
TOPEKA, KS
Past
March 26, 2004 - May 19, 2014
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
TOPEKA, KS
Past
April 30, 2002 - December 4, 2009
INTEGRATED WEALTH ADVISORS, INC.
RIA
CRD#: 119832
TOPEKA, KS
Past
March 27, 2000 - March 29, 2004
LEGACY ADVISORY SERVICES, INC.
RIA
CRD#: 111027
TOPEKA, KS
Past
November 9, 1999 - March 26, 2004
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
August 1, 1997 - November 11, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
April 18, 1996 - August 1, 1997
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
February 15, 1995 - April 17, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
August 6, 1993 - January 20, 1995
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
January 31, 1991 - August 4, 1993
CENTURY INVESTORS OF AMERICA, INC.
BD
CRD#: 5322
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.Highlighted states indicate IAR registrations
IAR
California(7/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
