Michael David Potter
Professional Summary
Michael David Potter is a registered financial advisor currently at MONARCH CAPITAL GROUP, LLC located in New York, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
MONARCH CAPITAL GROUP, LLC
Contact Information
Main Address
370 Lexington Avenue, Suite 308 Suite 2240, New York, NY 10017Mailing Address
370 Lexington Avenue, Suite 308, New York, NY 10017Phone Number
(212) 808-4333Established
New York since 01/27/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
8FINRA licenses (40 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONARCH HOLDINGS, LLC | MANAGEMENT COMPANY | — |
| COHEN, EDWARD BARRY | FINOP | — |
| POTTER, MICHAEL DAVID | CHAIRMAN, CEO, CFO, CCO | 2417023 |
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael David Potter's CRS (Customer Relationship Summary).
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