Steven G. Potter
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.
Steven Glenn Potter, who also goes by Steven G Potter, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2012 - July 31, 2024
ERNST & YOUNG CAPITAL ADVISORS, LLC
August 4, 2003 - November 28, 2007
BANC OF AMERICA SECURITIES LLC
May 10, 2001 - July 16, 2003
DEUTSCHE BANK SECURITIES INC.
September 16, 1997 - June 9, 2000
MORGAN STANLEY & CO. LLC
November 16, 1995 - August 22, 1997
JPMSI
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
Current Firm
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
