Roger A. Potter

BALANCED WEALTH GROUP LLC | Financial Advisor

Westlake, OH 44145

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CRD#: 4548188

Professional summary

Roger Allan Potter, who also goes by Roger Allen Potter, is a registered financial advisor currently at BALANCED WEALTH GROUP LLC located in Westlake, Ohio.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Roger has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.

Question & Answer

What are your service offerings?

Business Retirement Plans

Retirement Plan Distribution

Social Security Retirement Ben...

Are you a "fiduciary"?

Yes

Aliases

Roger Allen Potter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Licensed insurance professional; same address; less than 10% of business time. 2) Real Estate Ownership; Lot/Land; 506 Buckeye Drive, , Sheffield Lake, OH, 44054; Not Investment-Related; 03/16/2018. 3) BOOK: "Proverbs: Wisdom for Prosperity"; Selling a book I wrote; 3226 Dayton Ave Lorain, Ohio 44055 ; Not Investment-Related; 08/09/2017; 0 during trading hours; 1 to 9 hours per month. 4) Book -Proverbs: Wisdom for the Graduate; A Book; 3226 Dayton Ave, , Lorain, OH, 44055; Not Investment-Related; 02/10/2020; 0 during trading hours; 1 to 9 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Allan Potter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 2, 2023 - Present

BALANCED WEALTH GROUP LLC

Office #1: 1991 Crocker Road Suite 300, Westlake, OH 44145

RIA

CRD#: 328007

Westlake, OH

Past

July 8, 2015 - November 8, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Sandusky, OH

Past

July 7, 2015 - November 8, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Sandusky, OH

Past

May 22, 2012 - July 10, 2015

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

Maumee, OH

Past

September 12, 2002 - March 13, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WESTLAKE, OH

Past

September 9, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 9, 2002 - March 13, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WESTLAKE, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BALANCED WEALTH GROUP LLC

CRD#: 328007 / SEC#: 801-128997

RIA

Registered Investment Advisory firm - (11/2/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(11/2/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/29/2012

Investment Company Products/Variable Contracts Principal Examination

Current Firm

BALANCED WEALTH GROUP LLC

CRD#: 328007 / SEC#: 801-128997

RIA

Registered Investment Advisory firm - (11/2/2023 Approved)

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Contact information

Main Address

1991 Crocker Road Suite 300, Westlake, OH 44145

Mailing Address

Phone number

(440) 871-6501

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BALANCED WEALTH DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (4/15/2025)

Regulatory assets under management

Total Number of Accounts	1,552
AUM (Assets Under Management)	$ 419,910,000

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Roger A. Potter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Allan Potter's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

FARMERS FINANCIAL SOLUTIONS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BALANCED WEALTH GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/15/2005

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2002

Series 26

Date: 8/29/2012

Current Firm

BALANCED WEALTH GROUP LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALANCED WEALTH GROUP LLC

TRUST BUT VERIFY

Contact information

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