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Raymond H. Potter

Some features on this profile are disabled
CRD#: 2504727
RP

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.

Raymond Harold Potter, who also goes by Ray Potter, Raymond Harold Potter Jr, was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 1995. Raymond had worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ray Potter | Raymond Harold Potter Jr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 30, 2010 - October 22, 2012

HODES WEILL SECURITIES, LLC

BD
CRD#: 131848
NEW YORK, NY
Past

May 26, 2008 - January 9, 2009

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 16, 2002 - February 4, 2003

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

October 16, 2000 - July 31, 2002

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 18, 1995 - October 16, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

January 20, 1995 - September 19, 1995

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/14/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/22/2008
General Securities Representative Examination

Current Firm

HW
HODES WEILL SECURITIES, LLC
HODES WEILL SECURITIES, LLC | JAPANWORKS CAPITAL, LLC

CRD#: 131848 / SEC#: , 8-66518

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
825 Third Ave 15th Floor, New York, NY 10022
Mailing Address
825 Third Ave 15th Floor, New York, NY 10022
Phone number
(212) 542-5977
Established
Utah since 12/28/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HODES WEILL & ASSOCIATES, LPPARENT
BLECHNER, MYLESCCO2709013
CAMPBELL, ROBERTFINOP1349154
WEILL, DOUGLAS MICHAELEXEC. REP, MANAGING PARTNER2408551

Disclosures

Regulatory Event1

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

HODES WEILL SECURITIES, LLC

CRD#: 131848

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