MP
Monisha L. Potter
KESTRA ADVISORY SERVICES
Westport, MA 02790
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CRD#: 4887189
MP
Professional summary
Monisha Leigh Potter, CFP®, who also goes by Monisha Leigh Pramanik, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Westport, Massachusetts and KESTRA INVESTMENT SERVICES, LLC located in Westport, Massachusetts.
Monisha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Monisha has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Monisha Leigh Pramanik
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.
Name: KESTRA ADVISORY SERVICES, LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/06/2023 ADDRESS: 5707 Southwest Pkwy, Bldg 2 Ste 400, Austin TX 78735, United States DESCRIPTION: IAR Name: FINANCIAL PLANNING ALTERNATIVES POSITION: RR NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/06/2023 ADDRESS: 519 American Legion Hwy, #3, Westport MA 02790, United States DESCRIPTION: RR Name: RMS PROPERTY MANAGEMENT POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/02/2013 ADDRESS: 150 Martin St, Rehoboth MA 02769, United States DESCRIPTION: property management, and maintain real estate Name: MONISHA POTTER CONSULTANT POSITION: Consultant NATURE: Consulting INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/15/2025 ADDRESS: Guidepoint, 675 Avenue of the Americas, New York NY 10010, United States DESCRIPTION: Be available to answer non client specific questions about my recommendations and communications with clients on different financial planning, and aging related family planning issues.
CRS (Client Relationship Summary) - RIA
Click below to view Monisha Leigh Potter's 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®
CFP®
Start date: 2016
Experience
Current
June 7, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 519 American Legion Hwy #6, Westport, MA 02790RIA
CRD#: 283330
Westport, MA
Current
June 7, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 519 American Legion Hwy #3, Westport, MA 02790BD
CRD#: 42046
Westport, MA
Past
August 23, 2012 - June 7, 2023
CAPITAL ANALYSTS
RIA
CRD#: 162200
WESTPORT, MA
Past
June 1, 2012 - June 7, 2023
LINCOLN INVESTMENT
BD
CRD#: 519
WESTPORT, MA
Past
August 16, 2011 - June 1, 2012
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
WESTPORT, MA
Past
December 14, 2004 - August 8, 2011
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
NORTH HAVEN, CT
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/7/2023)
RR
Connecticut(6/7/2023)
RR
Florida(6/7/2023)
RR
Maine(6/7/2023)
RR
Massachusetts(6/8/2023)
IAR
Massachusetts(6/21/2023)
RR
New Hampshire(6/7/2023)
IAR
New Hampshire(6/7/2023)
RR
New Jersey(6/7/2023)
RR
New York(6/7/2023)
RR
North Carolina(1/8/2025)
RR
Oregon(8/7/2024)
RR
Pennsylvania(6/7/2023)
RR
Puerto Rico(6/7/2023)
RR
Rhode Island(6/22/2023)
RR
South Carolina(6/7/2023)
RR
Vermont(9/23/2024)
RR
Virginia(6/7/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
