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DP

Debra Potter

MUFG SECURITIES AMERICAS
NEW YORK, NY 10020-1001
Some features on this profile are disabled
CRD#: 4992110
DP

Professional summary

Debra Potter, who also goes by Debra L Potter, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.

Debra is registered as a RR (Registered Representative) and started their career in finance in 2008. Debra has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Debra L 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Debra 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

September 11, 2019 - Present

MUFG SECURITIES AMERICAS INC.

Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001
BD
CRD#: 19685
NEW YORK, NY
Past

November 15, 2010 - May 24, 2018

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

March 31, 2008 - September 24, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

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
New Jersey
(12/2/2024)
RR
New York
(9/11/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/24/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MS
MUFG SECURITIES AMERICAS INC.
BOT SECURITIES, INC. | TOKYO-MITSUBISHI SECURITIES (USA), INC. | MUFG SECURITIES AMERICAS INC. | MUFG SECURITIES | MUFG | MITSUBISHI UFJ SECURITIES (USA), INC. | MITSUBISHI SECURITIES (USA), INC.

CRD#: 19685 / SEC#: , 8-43026

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Mailing Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Phone number
(212) 405-7000
Established
New York since 12/08/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MUFG AMERICAS HOLDINGS CORPORATIONDIRECT OWNER
GARVEY, EILEEN ELIZABETHINDEPENDENT NON-EXECUTIVE DIRECTOR7045039
GREEN, CHARLES ERWIN JRINTERNATIONAL CHIEF RISK OFFICER2939574
GUNN, BRIANOUTSIDE DIRECTOR7453790
KAMLANI, SUNEEL KISHINOUTSIDE DIRECTOR1856118
KOMORIYA, MASATOSHIOUTSIDE DIRECTOR8066085
LINDENBERG, JONATHAN BLAKEOUTSIDE DIRECTOR2430463
MCHUGH, DENIS TIMOTHYPRESIDENT AND CHIEF EXECUTIVE OFFICER1909225
MILKMAN, PAUL DAVIDCHIEF INFORMATION SECURITY OFFICER1564708
MORREALE, MONIQUE LILLIANGENERAL COUNSEL8184893
RADCLIFFE, ALEXANDER HUGH JOSEPHCHIEF FINANCIAL OFFICER7595877
SCANDURA, STEPHEN THOMASCHIEF COMPLIANCE OFFICER4539229
YAMASHITA, ATSUSHIOUTSIDE DIRECTOR7562428
YARIAN, MICHAEL JAMESINTERNATIONAL BUSINESS HEAD OF SALES & TRADING2504162

Disclosures

Regulatory Event5

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.

Company Information

MUFG SECURITIES AMERICAS INC.

CRD#: 19685New York, NY 10020-1001

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