Debora 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.
Debora Potter, who also goes by Debbie Kay Millar, Debbie Kay Potter, was a registered financial professional .
Debora is a previously registered financial professional and started their career in finance in 2002. Debora had worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 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
September 15, 2022 - June 30, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
September 15, 2022 - June 30, 2025
SORRENTO PACIFIC FINANCIAL, LLC
September 15, 2022 - June 30, 2025
SCF SECURITIES, INC.
September 15, 2022 - June 30, 2025
NEXT FINANCIAL GROUP, INC.
September 15, 2022 - June 30, 2025
CUSO FINANCIAL SERVICES, L.P.
July 14, 2021 - June 30, 2025
CADARET, GRANT & CO., INC.
July 3, 2006 - June 9, 2021
M&T SECURITIES, INC.
December 3, 2004 - July 3, 2006
CITICORP INVESTMENT SERVICES
July 5, 2002 - July 3, 2006
CITICORP INVESTMENT SERVICES
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
