Stuart 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.
Stuart Goodwin Potter JR was a registered financial advisor .
Stuart is a previously registered financial advisor and started their career in finance in 1966. Stuart had worked at 3 firms and has passed the Series 5, PC, Series 1, Series 53, Series 8 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
January 26, 1989 - September 24, 2012
S&P INVESTORS, INC.
January 24, 1989 - September 24, 2012
S&P INVESTORS, INC.
October 23, 1979 - December 13, 1988
HILLTOP SECURITIES INC.
June 9, 1966 - November 25, 1979
PRINCIPAL FINANCIAL SECURITIES,INC.
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
Series 5
Date: 10/6/1981
Interest Rate Options ExaminationPC
Date: 8/8/1977
AMEX Put and Call ExamSeries 1
Date: 6/7/1966
Registered Representative ExaminationSeries 8
Date: 10/22/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
S&P INVESTORS, INC.
CRD#: 18421 / SEC#: , 8-36653
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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