Roger H. Potthoff
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.
Roger H Potthoff was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 2000. Roger had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2008 - December 31, 2012
KMS FINANCIAL SERVICES, INC.
November 4, 2008 - December 31, 2012
KMS FINANCIAL SERVICES, INC.
August 9, 2005 - November 5, 2008
QUEST CAPITAL STRATEGIES, INC.
August 9, 2005 - November 5, 2008
QUEST CAPITAL STRATEGIES, INC.
July 29, 2004 - June 17, 2005
OSAIC FA, INC.
April 28, 2004 - June 17, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 28, 2004 - June 17, 2005
OSAIC FA, INC.
January 3, 2002 - February 3, 2003
PARK AVENUE SECURITIES LLC
September 25, 2000 - May 17, 2001
ROBERT W. BAIRD & CO. INCORPORATED
September 25, 2000 - May 17, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
