Eric M. Poto
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.
Eric Michael Poto, who also goes by Eric Poto, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2012. Eric had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2019 - July 6, 2020
GREAT POINT CAPITAL LLC
January 9, 2018 - May 15, 2019
TRUST ADVISORY GROUP LTD
January 9, 2018 - May 15, 2019
AGES FINANCIAL SERVICES, LTD.
July 1, 2015 - September 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2015 - September 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 30, 2012 - June 30, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 9, 2012 - June 30, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 9, 2012 - October 10, 2012
NATIONAL SECURITIES CORPORATION
March 15, 2012 - March 23, 2012
CHAPDELAINE TULLETT PREBON, LLC
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
Current Firm
GREAT POINT CAPITAL LLC
CRD#: 114203 / SEC#: , 8-53402
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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