MP
Michael D. Potter
MONARCH CAPITAL GROUP
New York, NY 10017
Some features on this profile are disabled
CRD#: 2417023
MP
Professional summary
Michael David Potter is a registered financial professional 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.
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael David 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
March 25, 2002 - Present
MONARCH CAPITAL GROUP, LLC
Office #1: 370 Lexington Avenue, Suite 308, New York, NY 10017Office #2: 370 Lexington Avenue, Suite 308, New York, NY 10017RIA
BD
CRD#: 47815
New York, NY
Past
March 9, 1998 - April 24, 2002
LAIDLAW GLOBAL SECURITIES, INC.
BD
CRD#: 19018
NEW YORK, NY
Past
April 15, 1996 - March 9, 1998
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
Past
February 2, 1994 - June 10, 1996
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
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
Alabama(3/25/2002)
RR
Arizona(3/25/2002)
RR
California(3/25/2002)
RR
Colorado(3/25/2002)
RR
Connecticut(3/25/2002)
RR
Delaware(3/25/2002)
RR
District of Columbia(3/25/2002)
RR
Florida(3/25/2002)
RR
Georgia(3/25/2002)
RR
Hawaii(3/25/2002)
RR
Illinois(3/25/2002)
RR
Indiana(4/10/2002)
RR
Iowa(7/16/2009)
RR
Kansas(3/25/2002)
RR
Louisiana(3/25/2002)
RR
Maine(9/22/2010)
RR
Maryland(3/25/2002)
RR
Massachusetts(3/25/2002)
RR
Michigan(3/25/2002)
RR
Minnesota(2/3/2021)
RR
Mississippi(3/25/2002)
RR
Nevada(3/25/2002)
RR
New Hampshire(5/3/2002)
RR
New Jersey(3/25/2002)
RR
New Mexico(3/25/2002)
RR
New York(3/25/2002)
RR
North Carolina(3/25/2002)
RR
Ohio(3/26/2002)
RR
Oregon(3/25/2002)
RR
Pennsylvania(3/25/2002)
RR
Rhode Island(3/25/2002)
RR
South Carolina(3/25/2002)
RR
South Dakota(3/25/2002)
RR
Tennessee(7/22/2020)
RR
Texas(3/26/2002)
RR
Utah(3/25/2002)
RR
Vermont(3/25/2002)
RR
Virginia(3/25/2002)
RR
Washington(3/25/2002)
RR
Wisconsin(3/25/2002)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MONARCH CAPITAL GROUP, LLC
MONARCH CAPITAL GROUP, LLC
CRD#: 47815 / SEC#: , 8-51911
New Jersey
Registered Investment Advisory firm - SEC (8/26/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
370 Lexington Avenue, Suite 308 Suite 2240, New York, NY 10017
Mailing Address
370 Lexington Avenue, Suite 308, New York, NY 10017
Phone number
(212) 808-4333
Established
New York since 01/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
8
FINRA licenses (40 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 |
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.
