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DP

David L. Potter

Some features on this profile are disabled
CRD#: 2991638
DP

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.

David Leonard Potter was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1998. David had worked at 6 firms and has passed the Series 63, Series 7, Series 38, Series 4, Series 51 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.

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

March 18, 2010 - May 13, 2013

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
TAMPA, FL
Past

January 30, 2008 - December 31, 2010

PLATINUM WEALTH PARTNERS

RIA
CRD#: 145507
TAMPA, FL
Past

January 30, 2008 - March 12, 2018

PLATINUM WEALTH PARTNERS

RIA
CRD#: 145507
TAMPA, FL
Past

September 25, 2006 - March 31, 2010

OSAIC WEALTH, INC.

BD
CRD#: 23131
TAMPA, FL
Past

February 21, 2002 - September 25, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
NORTH YORK,
Past

October 8, 2001 - March 4, 2002

RAYMOND JAMES (USA) LTD.

BD
CRD#: 25853
VANCOUVER, B.C.,
Past

May 1, 1998 - August 8, 2001

TD SECURITIES (USA) LLC

BD
CRD#: 18476
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: 4/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 38
Date: 4/23/1998
Canada Module of the General Securities Registered Representative (Without Options Questions)
Principal/Supervisory Exam
RR
Series 4
Date: 4/14/2008
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/31/2008
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/28/2005
General Securities Principal Examination

Current Firm

LS
LASALLE ST SECURITIES, L.L.C.
LA SALLE ST. SECURITIES, INC. | LASALLE ST SECURITIES, L.L.C.

CRD#: 7191 / SEC#: , 8-18860

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131
Mailing Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131
Phone number
(630) 600-0500
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LASALLE ST. HOLDINGS LLC F/K/A MCDERMOTT HOLDINGS I, L.P.100% OWNER
BEAVER, REGAN ALANCHIEF COMPLIANCE OFFICER4621953
DROZD, MICHAEL MITCHELLCHIEF INVESTMENT OFFICER6015178
SCHLESSER, DANIEL JOHNC.F.O./TRES./C.O.O1788458

Disclosures

Regulatory Event15
Arbitration4
Bond1

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

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

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