Donald C. Potts
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 Cullen Potts, who also goes by Donald C Potts, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1969. Donald had worked at 5 firms and has passed the Series 63, SIE, Series 1, Series 4, F04, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 1978 - July 22, 2019
CAPIS
August 30, 1974 - March 17, 1978
JESUP & LAMONT SECURITIES CO., INC.
November 9, 1973 - August 30, 1974
JESUP & LAMONT INCORPORATED
September 25, 1973 - November 9, 1973
JESUP & LAMONT
October 16, 1969 - August 26, 1973
DUPONT WALSTON, INCORPORATED
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 1
Date: 8/21/1964
Registered Representative ExaminationF04
Date: 12/21/1977
Financial Principal ExaminationSeries 12
Date: 11/21/1969
NYSE Branch Manager ExaminationSeries 40
Date: 10/8/1969
Registered Principal ExaminationCurrent Firm
CAPIS
CRD#: 7551 / SEC#: , 8-22273
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CULLEN POTTS STOCK TRUST | SHAREHOLDER | |
| HEIDEMANN REVOCABLE TRUST | SHAREHOLDER | |
| CHOATE, DAVID PAUL | CHIEF OPERATIONS OFFICER | 1568590 |
| DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| HEIDEMANN, JORGEN HAMILTON | DIRECTOR | 1042114 |
| HUSEINBEGOVIC, BENIN NMN | CHIEF FINANCIAL OFFICER / FINOP | 4806696 |
| KICAK, THOMAS ALAN | CHIEF COMPLIANCE OFFICER | 1441596 |
| LAMENDOLA, STEPHEN DEAN | CHIEF INFORMATION OFFICER | 4006443 |
| POTTS, DONALD CULLEN II | TRUSTEE, CULLEN POTTS STOCK TRUST | 2845666 |
| POTTS, DONALD CULLEN II | CHAIRMAN OF THE BOARD | 2845666 |
| SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | SHAREHOLDER | |
| SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | SHAREHOLDER | |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | TRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON | 4589262 |
| SEBERT, ANN VANSANT | CHIEF EXECUTIVE OFFICER | 4589262 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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