Donald J. 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.
Donald Joseph Potter JR was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1987. Donald had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 51, Series 27 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
October 19, 2017 - December 1, 2020
CAPITAL ONE INVESTING, INC.
November 12, 1998 - September 30, 2004
SIGMA INVESTMENTS
April 12, 1998 - October 31, 2017
SIGMA FINANCIAL SERVICES INC
July 13, 1996 - February 11, 1998
P.R. TAYLOR & CO., INC.
June 5, 1990 - April 1, 1996
COMPASS INVESTMENTS CORPORATION
August 15, 1988 - August 14, 1990
FIRST NEW YORK SECURITIES L.L.C.
November 25, 1987 - August 29, 1988
JOHN HANCOCK DISTRIBUTORS 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
CAPITAL ONE INVESTING, INC.
CRD#: 285084 / SEC#: 801-111630
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,089 |
| AUM (Assets Under Management) | $ 920,140,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2022 |
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.
