Grant Pothast
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.
Grant Pothast, who also goes by Grant Earl Pothast, Grant Earle Pothast, was a registered financial professional .
Grant is a previously registered financial professional and started their career in finance in 1993. Grant had worked at 6 firms and has passed the Series 63, Series 99TO, Series 72, SIE, Series 7, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2020 - July 8, 2024
PICKWICK CAPITAL PARTNERS, LLC
February 7, 2017 - October 3, 2018
NYLIFE DISTRIBUTORS LLC
March 11, 2015 - April 4, 2016
CVP CAPITAL LLC
November 3, 2000 - October 12, 2010
CREDIT SUISSE SECURITIES (USA) LLC
August 6, 1996 - September 19, 2002
PERSHING LLC
January 1, 1993 - August 1, 1996
JEFFERIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
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.
