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Paul Edwin Potter

Paul E. Potter

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CRD#: 4999570
Paul Edwin 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.

Paul Edwin Potter, CFP®, who also goes by Paul E. Potter, was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 2005. Paul had worked at 2 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul E. 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.
(dba) INTEGRITY FINANCIAL AND INSURANCE PLLC; Investment Related; 309 Oak Hill Drive, Altamonte Springs, FL 32701; Insurance and Financial Services; Financial Advisor; Start Date 05/2006; 160 hours per month; Assist clients with investment decisions and direct them to appropriate attorneys and/or CPAs for Estate Plans and Tax Preparation.//REBUTH FAMILY TRUST; Investment Related; 217 Nettlewood Lane, Fern Park FL 32730; Family Trust; Trustee; Start Date 08/2012; 1 hour per month with no hours during trading hours; As trustee I make investment decisions and provide funds for grantors and will upon their demise, distribute funds to beneficiaries.//INTEGRITY FINANCIAL AND INSURANCE; Non-investment Related; 309 Oak Hill Drive, Altamonte Springs, FL 32701; Start Date 01/2008; 100 hours per month with 80 of those hours occurring during trading hours; Health Insurance; Insurance Advisor; Sell Individual, Group, Long-Term Care and Medicare health insurance.//FLORIDA INDEPENDENT INSURANCE CONSULTANTS; Investment Related; 309 Oak Hill Drive, Altamonte Springs, FL 32701; Insurance; Principal; Start Date 05/2020; 80 hours per month with most hours per month occurring during trading hours; Life, Health and Long-term Care insurance product sales and service.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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®

Certified Financial Planner

Start date: 2008

Experience

Past

July 18, 2006 - December 31, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
Altamonte Spring, FL
Past

July 7, 2006 - December 31, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
Altamonte Spring, FL
Past

September 20, 2005 - July 10, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WINTER PARK, FL
Past

August 29, 2005 - July 10, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
WINTER PARK, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/15/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/28/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/2005
General Securities Representative Examination

Current Firm

CF
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CONCOURSE FINANCIAL GROUP ADVISORS | PROTECTIVE EQUITY SERVICES, INC. | PROEQUITIES, INC. | PROEQUITIES INC | INVESTMENT ADVISORS | CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708 / SEC#: 801-56010, 8-32590

BD
Terminated by SEC on 08/24/2025
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Contact information

Main Address
2801 Highway 280 South, Birmingham, AL 35223
Mailing Address
P.o. Box 518, Birmingham, AL 35201-0518
Phone number
(800) 288-3035
Established
Alabama since 07/11/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
885

FINRA licenses (2 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

CONCOURSE FINANCIAL GROUP SECURITIES ADV PART 2 BROCHURE 2024 (3/26/2024)

Direct owners and executive officers

NamePositionCRD#
PROTECTIVE LIFE CORPORATIONPARENT
MCCRELESS, KEVIN LUCIUSCHIEF COMPLIANCE OFFICER5180100

Regulatory assets under management

Total Number of Accounts20,957
AUM (Assets Under Management)$ 4,373,015,542

Disclosures

Regulatory Event64
Arbitration5

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

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

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