Chad W. 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.
Chad William Potter was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 2000. Chad had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2019 - December 1, 2022
INVESCO DISTRIBUTORS, INC.
April 28, 2014 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
February 29, 2008 - September 9, 2011
RBC CAPITAL MARKETS, LLC
July 21, 2006 - July 31, 2006
WATERSTREET INVESTMENT CONSULTANTS, LLC
July 21, 2006 - July 31, 2006
EKLEKTIKOS CAPITAL MANAGEMENT, LP
July 3, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
July 1, 2003 - April 4, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 4, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 24, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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