Benjamin B. 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.
Benjamin Bruce Potthoff, CFP®, who also goes by Benjamin Potthoff, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2000. Benjamin had worked at 10 firms and has passed the Series 66, SIE 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
July 14, 2018 - April 3, 2019
FORTUNE FINANCIAL SERVICES, INC.
February 26, 2018 - November 28, 2018
EPSTEIN AND WHITE FINANCIAL LLC
March 28, 2016 - February 8, 2018
OSAIC SERVICES, INC.
March 22, 2016 - February 8, 2018
OSAIC SERVICES, INC.
December 22, 2014 - November 8, 2021
BGM WEALTH MANAGEMENT
September 27, 2006 - July 17, 2014
OSAIC WEALTH, INC.
July 13, 2005 - April 27, 2006
IDS LIFE INSURANCE COMPANY
July 13, 2005 - April 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 8, 2003 - August 24, 2004
SII INVESTMENTS, INC.
January 2, 2001 - January 29, 2003
WADDELL & REED
August 8, 2000 - January 23, 2001
PIPER SANDLER & CO.
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
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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.
